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John Roberts

Senior Associate

About

John joined the firm’s Funds and Financial Regulation team in 2022. He specialises in financial services law and regulation including the regulatory perimeter, financial promotions, conduct of business, regulatory capital requirements, client money and client assets rules and the SMCR.

He advises on a range of EU-derived frameworks such as MiFID, AIFMD and the IDD and regulatory change under new regimes such as the IFPR and the Consumer Duty.

John acts for a wide range of financial services clients including investment managers, advisers, custodians, institutional investors, platforms, insurance intermediaries and fintechs, as well as regularly assisting with the regulatory aspects of acquisitions and disposals in the financial services sector.

Experience

Investment platform clients: Advising on Consumer Duty implementation projects, including reviews of client terms and conditions.
UK friendly society: Advising on a number of insurance proposition developments and distribution relationships.
Insurance and wealth management clients: Advising on material outsourcing arrangements.
Pension trustee clients: Reviewing and negotiating investment management and custody agreements on behalf of pension trustee clients.
UK and overseas financial services firms: Advising on cross-border arrangements including Brexit planning and implementation.
Applications and notifications to the FCA: Advising on applications and notifications to the FCA including authorisations and change in control applications.