13 Apr 2021

Essential Compliance Update

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Justin McClelland, partner in our regulatory litigation team, gave a presentation on 13 April 2021 as part of an Essential Compliance Update run by Goodacre UK (a training and technology firm). Justin presented on the customer vulnerability following the publication on 23 February 2021 by the FCA of its Guidance for firms on the fair treatment of vulnerable customers (FG21/1).  The presentation looked at the key features of the new Guidance and practical steps to take in implementing the changes required.

The presentation included speakers from Goodacre UK, Macfarlanes and Locke Lord LLP who presented on a range of topics including employment, the Investment Firm Prudential Regime and an FCA update.

Goodacre UK is a leading specialist business and technology consultancy working exclusively with regulated companies and suppliers in the financial services sector.

Speakers

Justin McClelland, Partner – regulatory litigation, Stephenson Harwood

Justin’s practice covers a number of sectors, including financial services, transport, construction, pharmaceuticals and energy. He specialises in regulatory litigations, high value litigations, corporate investigations, and compliance programmes. Prior to his private practice, Justin served as a lawyer in the British Army, prosecuting cases spanning the criminal spectrum at Courts Martial, as well as advising and negotiating at the highest levels of government.

Hannah Doherty, Regulatory consultant

Hannah practised as a City solicitor for 30 years, specialising in corporate and financial services. She has been a regular speaker at Goodacre events, and she now trains financial services staff on the latest regulatory requirements. Most recently, she has trained hundreds of staff and senior managers on the new Conduct Rules.

Andrew Henderson, Partner, Macfarlanes

With over 20 years’ experience, Andrew advises his clients on a variety of issues, including: governance, senior manager accountability and bank regulatory capital. Andrew has twice acted as an FCA ‘skilled person’ and has advised organisations on issues such as intellectual property within financial technologies, especially relating to blockchain and the regulatory classification and safekeeping of cryptoassets. Andrew has contributed to numerous academic texts and was formerly Law Lecturer at the University of Cambridge. 

Shailen Patel, Head of CFO Advisory, Marfarlanes

Shailen has 17 years’ experience of auditing and advising asset managers and private equity houses on; M&A, Fund Raising, IPO, Valuations, and much more. He advises on financial and regulatory matters, as well as valuation and investment governance in relation to transactions, structuring and remuneration, with a specific focus on asset management and private equity businesses.

Nicolas Dent, Employment Law Partner, Locke Lord LLP

Nick Dent focuses on advising clients in the financial and professional services and media sectors on the full range of their employment issues, including high-value discrimination and bonus claims. Nick has particular experience in advising on collective redundancies, having advised a national newspaper on a complex restructuring and the associated union consultation, managed a redundancy programme across 19 countries and managed a leading case on the law of collective redundancies in the Tribunal and EAT. He also frequently advises on restrictive covenant disputes and the employment aspects of outsourcing and insolvency-related and other corporate transactions, as well as issues at the interface between employment law and financial regulation and data protection law.

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