Carly Phillips-Jones Solicitor

Carly is a solicitor in the Funds and Financial Regulation team and a member of the firm’s financial services sector group. She joined the team on qualification, having trained with the firm and prior to this worked in-house at an FCA regulated financial services company.

She has worked on a wide range of financial services regulatory matters including in relation to the regulatory perimeter, financial promotions, insurance distribution, CASS and conduct of business.

• Advising on the application of the regulatory perimeter and financial promotions rules for a wide range of financial services.
• Advising on applications and notifications to the FCA including authorisations, changes to fund portfolios and change of control.
• Drafting and advising on a range of client facing documentation for financial services clients including investment and digital platform clients, ensuring FCA and consumer duty compliance.
• Seconded to St James’s Place to advise on the formation and regulation of retail fund structures, including obtaining FCA approval.
• In-house experience at an FCA authorised loyalty solutions business, advising on product terms and conditions, payment services regulations, and compliance with consumer rights issues.