Overview

Gareth is an associate in our Financial Services and Technology and Communications sector groups and specialises in retail investment funds and financial services regulation.

With particular expertise in the establishment, structuring, operation and winding up of UK regulated fund structures, such as OEICs, authorised unit trusts and authorised contractual schemes, Gareth acts for authorised fund managers including host ACDs, investment managers and other product providers, as well as providing buy-side advice to occupational and local government pension scheme administrators and trustees. He also co-ordinates the financial services regulatory aspects of our Fintech practice, with a primary focus on payment services, crowdfunding and blockchain solutions.

Gareth has been heavily involved in the Digital Regulatory Reporting project, including organising and hosting one of the roundtables sponsored by the FCA and Bank of England and co-authored the UK-focussed chapters in The International Comparative Guide to Public Investment Funds 2018 (with Tom Dunn) and The Financial Technology Law Review (with Sarah Kenshall and Sarah Lane). 

Experience
  • Advising fund manager clients including Fund Partners, Investment Fund Services, Marlborough Fund Managers, St. James' Place amongst others on fund launches, changes to existing funds and related FCA applications.
  • Acting for the All Wales Pool, made up of the eight councils of Wales, in respect of the procurement of an operator for a £15 billion pooled investment vehicle taking the form of an authorised contractual scheme.
  • Advising on a fundamental restructuring of fund operations for Smartfunds by way of a scheme arrangement involving cross-border merger applications with the FCA and Irish Central Bank.
  • Advising First Group on the PSD2 implications of its entry into a Tripartite Merchant Agreement with a payment services provider for the provision of new payment terminals for its fleet of buses. 
  • Advising Amaiz, a neo-bank, on its establishment and regulatory obligations in respect of its UK operations. 

What others say...

"Gareth's service delivery has been exceptional this year and all work actioned in a timely and professional manner". 
Anthony Parnell, Carmarthenshire County Council