Simon Currie advises clients on securities and financial services regulatory issues in relation to the investment industry, with a particular focus on fund managers and non–Undertakings for Collective Investment in Transferable Securities investment funds.
Simon’s work includes counseling on the application of EU single-market directives, the UK Financial Services and Markets Act 2000, and the rules of the Financial Conduct Authority, including authorization applications, conduct of business issues, prudential and capital requirements, organizational controls, conflicts, remuneration requirements, customer documentation, new product development, marketing and financial promotions, changes of control, collective investment schemes, the management of alternative investment funds, and general compliance issues. He has been closely involved in advising on the regulatory regime introduced by the Alternative Investment Fund Managers Directive (AIFMD), both during and following its legislative process and subsequent transposition and implementation.
