Karen is highly experienced in advising on both UK and EU financial services regulation and providing practical and solutions focused advice to clients on a broad range of issues related to authorisation/regulatory perimeter, Funds licensing, marketing, corporate governance (including the SMCR), custody, conduct, remuneration, prime brokerage services, trading and clearing, systems, controls and procedures, operational resilience, change in control notifications, cross border activities, benchmark administration regulation, Brexit restructuring, and regulatory divergence. Karen has worked with her clients on a range of large-scale regulatory implementation projects on issues related to Brexit, MIFID II, EMIR, AIFMD and the UK IFPR and she assists clients in developing and updating policies, procedures, systems and controls to embed best practice and reflect regulatory expectations.
Karen regularly advises funds and fund managers on authorisation requirements under the UK AIFMR and the EU AIFMD and assists clients navigate their way through the fund marketing regimes in the UK and the EU (including under the passporting regime, pre-marketing notifications, NPPR notifications/ filings, and the UK financial promotion rules).
Karen brings notable experience in providing regulatory support to clients in relation to their capital markets and derivatives.
