Senior Associate
Nicholas has a broad financial regulatory practice, advising financial institutions including banks, brokers, financial technology companies, exchanges, clearing houses, fund managers, as well as corporates and other end-users.
His work involves advising on various legal and regulatory issues arising in clients' businesses, including structuring, regulatory authorizations and licensing, change of control, compliance policies and procedures, client agreements and terms of business, and incident management.
Prior to joining the Firm, Nicholas trained and qualified as a solicitor at another international law firm, where he was based in their banking practice.
Expertise
Experience
Representative matters
Bank of America, Wells Fargo and numerous hedge funds on the Credit Suisse situation.
The U.K government on proposals for regulatory accountability, restraining the regulators so that they act predictably and consistently, and in accordance with newly generated case law.
A Middle Eastern country on the establishment of a new legal regime within its territory.
Société Générale on its announced joint venture with Alliance Bernstein for their research and securities brokerage businesses.
Various issuers and major banks and brokers in connection with selling restrictions, analysts' research, stabilisation, market soundings, disclosure issues, Market Abuse Regulation matters and publicity in connection with their equity and debt offerings.
The ICE group on its U.K. exchange and clearing businesses.
Various financial institutions, financial technology companies and corporates in connection with regulatory advisory work, including perimeter issues, authorisation requirements, conduct of business, data protection and privacy, financial promotion restrictions, operational resilience, sanctions and other market conduct requirements.
Various financial institutions and corporates in relation to the discontinuation of LIBOR and their LIBOR transition processes.*
Various major UK banks in relation to compliance with the UK ring-fencing regime.*
Various financial institutions in relation to a range of investment grade and crossover credit financings.*
* Denotes prior firm experience.
Qualifications
Admissions
Academic
The University of Law - Moorgate LPC with MSc in Law, Business and Management
University of Oxford M.A. B.A. (Hons) in Jurisprudence
