Marc’s principal area of expertise is the establishment and regulation of fund and investment structures. Marc has extensive experience providing legal and compliance advice to fund and asset managers based in the UK, Europe, North America and Asia in relation to fundraising and general financial services regulatory issues under UK, European and global financial services law and regulation. Marc has spent time as in-house counsel at a global alternative asset manager (Brookfield Asset Management) and a global bank. Marc regularly:
- advises a wide-range of clients across private equity, credit, infrastructure and real estate in relation to structuring of private funds, the Alternative Investment Fund Managers Directive and global marketing of investment funds;
- provides strategic advice and operational support in relation to governance and other compliance arrangements to comply with changes in EU / UK financial services regulation, including MiFID II and PRIIPS;
- advises on the establishment of new investment businesses in the UK, applications for FCA authorisation, the establishment of compliance processes for investment businesses and provides ongoing regulatory advice in relation to matters such as insider trading & market abuse, conduct issues, conflicts of interest, financial promotions, senior manager arrangements, anti-money laundering requirements and general compliance with FCA rules; and
- conducts regulatory due diligence in relation to acquisitions of regulated businesses and negotiates regulatory approval for changes of control in connection with such transactions.
Marc also advises a number of charitable / not-for-profit organisations in relation to establishment and regulation of fund and investment structures on a pro bono basis often involving complex regulatory perimeter and structuring issues.