Sam is a partner in the Financial Services & Markets Department.
Sam advises on a wide range of legal and regulatory matters affecting the financial services industry. Over recent years he has been actively involved in helping several clients implement EU, and increasingly also UK, sustainable finance rules and the UK's Investment Firms Prudential Regime in particular. He has also led regulatory investigations, in particular on the topic of de-banking, and advises on sensitive conduct issues.
He regularly helps clients with FCA and PRA rules, the Consumer Duty, Brexit, the Alternative Investment Fund Managers Directive (AIFMD), the Senior Managers Regime, change of control, regulatory perimeter issues, financial crime and financial promotions. He has extensive experience of drafting a wide range of financial services agreements and works frequently with trade associations on the implementation of new regulatory rules and regimes.
His practice covers advisory work and the regulatory aspects of transactions, reorganisations and fundraises, and he has worked with traditional and alternative asset managers, including in particular private equity, private credit and infrastructure firms, as well as with banks, trading venues, pension scheme trustees, investment, commercial and challenger banks, wealth managers and brokers.
In the course of his career, Sam has also spent time on secondment with a global investment bank.