William Robertson
Partner
William specialises in UK and European financial services regulation, supporting financial institutions and their investors on a wide range of transactional and advisory matters.
Partner
William specialises in UK and European financial services regulation, supporting financial institutions and their investors on a wide range of transactional and advisory matters.
Languages - English, German
Jurisdiction - England & Wales
William advises regulated businesses and their investors on a broad range of UK and European financial services regulatory issues. Much of his work is advisory, assisting firms with product launches, day-to-day compliance needs, group structuring and interactions with the regulators. He also works closely with the firm’s corporate and funds practices on transactional matters and with the firm's contentious practice in relation to s.166 appointments, FCA investigations and insolvency procedures.
William has particular expertise in the bulk transfer of retail investment books (including ISA, SIPP and Child Trust Fund accounts) and in prudential and client assets regulation. He regularly assists FCA- and PRA-authorised firms with regulatory capital issues, credit risk mitigation techniques, and with their interactions with CASS auditors. He enjoys scrutinising new regulatory initiatives, including in his role as a member of the CLLS regulatory law subcommittee.
FCA's consumer duty
Assisting an airline with the implementation of the FCA's consumer duty in relation to travel insurance products.
Challenging CASS auditors
Challenging CASS auditors on proposed adverse findings on behalf of numerous clients (including insurance brokers and discretionary managers).
Sustainability Disclosure Requirements
Advising a "social impact" listed investment company, along with its manager, on the implementation of the FCA's Sustainability Disclosure Requirements ("SDR") and investment labels regime.
Insurance Distribution Activities
Advising a US broker group on the launch of its UK operations.
Acquisition of IFA firms
Advising in the acquisitions of IFA firms and the development of aggregator models.
Transactions
Advising the shareholders of the MECO Group Limited on the group's sale to Markel International.
Administration
Advising on the special administration of a CFD trading platform, including the application for a High Court bar date order for the distribution of client money and final settlement of claims, and advise on handling of title transfer collateral arrangements.
Trustee models
Advise to SIPP operators on the implementation of custody structures involving a non-authorised bare trustee.
