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Puesan Lam

Legal Director
London
About

Puesan advises clients on a wide range of regulatory and compliance matters, including: authorisation and perimeter issues; prudential and conduct of business requirements, regulatory filings, regulatory investigations, insider dealing and market manipulation issues and EU regulatory matters, such as MiFID I/II, MAR, 4MLD, EMIR, AIFMD, IMD/IDD and PSD.

She is a contributing author for Lexis Nexis Financial PSL.

Areas of FocusLitigation, Arbitration and Investigations
Professional QualificationsSolicitor of the Senior Courts of England and Wales

EXPERIENCE

  • Section 166 investigation (appointed by the FCA) into the complaint handling processes of a UK bank
  • Advising a range of UK regulated entities on Senior Management Arrangements, Systems and Controls requirements, remuneration matters and obligations in relation to treating customers fairly
  • Coordinating and managing regulatory and compliance due diligence reviews across numerous jurisdictions in connection with potential IPOs and acquisitions of regulated businesses
  • Advising former OFT licensed firms on the new FCA consumer credit regime
  • Advising a major UK insurance firm in relation to a parallel enforcement and Skilled Person investigation bought by the FCA into insurance mis-selling, governance and oversight structure, and complaints handling
  • Advising a German bank on its options under the UK's regulatory framework in the event of a "hard Brexit"
  • Advising a high-frequency commodities trading firm on MiFID II requirements
  • Advising crowdfunding operators on regulatory perimeter and marketing issues in the UK and assisted one crowdfunder with its launch into the UK
  • Advising clients on regulatory outsourcing requirements, including advising a client on their material contracts and identifying whether these were SYSC 8 contracts and amendments to be made to draft outsourcing agreements
  • Advising non-EU asset managers on marketing issues and remuneration disclosures under AIFMD
Education
  • Post Graduate Diploma in Legal Practice, Distinction
  • University College London, LLM
  • University College London, LLB (Honours)

My latest insights

Publication

ESMA publishes statement on reporting requirements under RTS 28 of MiFID II

20 February 2024 .3 minute read

Publication

Navigating the Change in Control process: Top tips from the PRA and FCA new guidance

15 January 2024 .5 minute read

Publication

FCA clamps down on ‘double dipping’

14 December 2023 .4 minute read

View All

Connect

Phone

+44 (0) 87 0011 1111
(Work, London)
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