William is a partner in the firm's Financial Services team. He has advised on the structuring and establishment of numerous financial services businesses and investment funds. He also regularly assists clients throughout the UK authorisation process and has particular expertise in advising clients on a wide range of regulatory, trading and markets issues and perimeter issues.
William assists clients with information requests, regulatory enquiries and enforcement actions by exchanges, regulators and other enforcement authorities. William's FCA related work includes helping clients deal with s165 Information requests, s166 Skilled Person reports, VREQs, OIREQs, compelled interviews and enforcement cases. Most notably, William successfully defended a firm in one of the most high profile FCA enforcement actions of recent times (including allegations of non-financial misconduct, systems and control breaches).
William has a diverse range of clients including exchanges (regulated markets, multilateral trading facilities, organised trading facilities), broker crossing networks and trading platforms, investment banks, brokers, proprietary trading firms and market makers, and investment managers in connection with multiple investment and product classes (including equities, fixed income, funds, commodities, financial derivatives, CFDs, commercial and wholesale FX, and crypto assets). His extensive trading experience enables him to provide legal expertise which is complemented by significant industry insight and an understanding of the practical and commercial realities of running a business involved in financial markets.
William regularly assists fintech clients in fitting novel and fast moving technological business models into the less dynamic regulatory framework (particularly in relation to payment services and crypto assets).
William is admitted to practise in England and Wales.
