Senior Consultant

Experience

Richard specialises in UK and European regulation – particularly for private equity and venture capital fund managers regulated by the FCA. He also advises clients on perimeter issues regarding whether certain firms require FCA authorisation to carry on their proposed activities.

Having until recently been splitting his time between London and New York, Richard’s focus is helping US and other non-UK clients to set up regulated businesses in, or market investments into, the UK.

Richard joined BWB Compliance in July 2017, having spent six years working for a boutique regulatory consulting firm where he gained a strong and technical understanding of both the retail and wholesale financial services markets.

Richard holds a BA in History and a LLB (Hons) Law Degree and has completed his Legal Practice Course. Richard also holds the CISI Diploma in Investment Compliance.

Examples of Recent Work

  • Restructuring of U.S private equity house to gain access to AIFMD marketing passport;
  • Advice to Australian real estate manager on its compliance with AIFMD’s marketing rules
  • Advising U.S online fundraising platform on UK regulatory requirements and authorisation.
  • Reviewing fund documents against AIFMD’s transparency requirements.

Qualifications and Career

  • Managing Consultant, Bovill 2011 – 2017
  • Financial Ombudsman Service 2009 – 2010
  • BA History, University of Reading
  • LLB Law, University of London
  • Diploma in Investment Compliance, CISI