John Roberts
Senior Associate, UK
John is a Senior Associate in the Financial Institutions Group, specialising in UK and EU financial services law and regulation.
He advises a range of clients on financial services regulatory issues, including the regulatory perimeter, financial promotions, AIFMD, the Senior Managers and Certification Regime, FCA change in control applications, client money and client asset rules, conduct of business and regulatory capital requirements.
John joined Osborne Clarke in 2016 as a trainee and qualified in September 2018.
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John
Insights
Financial Services
New data and reporting rules as the FCA revamps the appointed representative regime
What steps do principals need to take to get up to speed with the new UK procedural requirements?
30/08/2022
Financial Services
FCA improves its appointed representative regime amid UK consumer-harm concerns
The changes will specify more precisely a principal's responsibility for and oversight of ARs and what this means in practice
23/08/2022
Financial Services
UK financial watchdog's perimeter report calls for legislative change to protect consumers
Investment fund managers will need to keep an eye on a range of changes envisaged in this year's report, including...
01/12/2021
Financial Services
Financial Conduct Authority entrenches 'culture' at centre of regulatory supervision
The UK regulator's focus on 'culture' means fund managers need to articulate their core purpose, ensure this is understood throughout...
15/04/2021
Financial Services
Financial Conduct Authority encouraged by Covid-19 response and sector resilience
UK regulator stresses the importance of contingency planning for the industry, including wealth managers and advisors, and hints that more...
28/07/2020
