Sara is a managing associate in the Financial Services Regulation group in London. She specialises in all aspects of UK and EU legal and regulatory matters, advising both buy-side and sell-side firms.
In particular, she regularly advises on compliance with the FCA rules, client documentation, compliance policies and procedures, the provision of cross-border financial services business across the EU and globally, share disclosure and short selling rules, market conduct issues, trading securities, derivatives and other financial instruments (on- and off-exchange), and on-going regulatory reform.
Sara also advises on various aspects of corporate law, company law and partnership law, including the implementation and structuring of start-ups (on- and off-shore), incorporations in the UK and offshore, share issues, shareholders’ agreements, partnership agreements, investment management agreements, articles of association, board meetings and board minutes and general operational day-to-day matters.
- Recent Work
- advising leading asset management firms and financial institutions on share disclosure and short selling rules
- advising asset management firms and financial institutions on MiFID2 implementation
- advising asset management firms and financial institutions on day-to-day compliance on all aspects of the UK regulatory regime (including conduct of business issues, market abuse, controllers and close links, approved persons, systems and controls and regulatory reporting)
- assisting asset management firms and financial institutions with establishing businesses in the UK and the regulatory requirements when carrying on business cross-border into the UK or cross-border into other jurisdictions (including licensing issues and marketing/selling restrictions in respect of a range of products and client types).
Sara joined the firm in 2006 as a trainee solicitor, and qualified as an associate in the Financial Services group at the start of 2008.
During this time, Sara has also spent 9 months on secondment to a leading global asset manager advising on share disclosure compliance, and 9 months on secondment at a global financial institution advising on commodities trading.