Overview

Anna joined the firm in 2016 as an Associate in our Funds and Financial Regulation practice. Prior to this, Anna spent 11 years with AXA and was an experienced compliance professional when she retrained as a solicitor. Anna's background is in life, pensions and wealth management, working mainly on product and proposition development including the creation of compliant distribution strategies (both advised and direct to consumer), advertising and product literature. 

Anna has a detailed technical understanding of a wide range of regulatory areas, including:

  • the regulatory perimeter
  • conduct of business
  • MiFID and insurance distribution
  • cross border activities
  • financial promotions 
  • CASS
  • reporting and fees, and 
  • prudential requirements. 
Experience
  • Advising on the regulatory considerations for the development of a range of financial products, including advising one of the largest UK insurers on new critical illness insurance and funeral plans and a major asset manager on the development of a fund of alternative investment funds (FAIF). 
  • Advising a major provider of wealth management, asset management and financial advisory services on its group restructure in preparation for Brexit. 
  • Advising clients on major regulatory changes such as MiFID II and the IDD. 
  • Drafting and advising on a wide range of client terms and conditions for financial services clients, including investment platforms and financial advice firms, to ensure FCA and consumer rights compliance. 
  • Drafting and advising on a wide range of investment management agreements between platforms, fiduciary managers and clients, including pension schemes. 
  • Advising on the regulatory perimeter, including whether proposed new ventures constitute regulated activities and on options for appropriate legal structures.
  • Advising on the change of control aspects in relation to the sale and acquisition of various financial services firms. 
  • Advising on the regulatory requirements and considerations relating to material outsourcing.