Providing compliance coverage of Corporate Finance/M&A, Capital Markets and Investor Advisory transactions in the UK, Middle East and parts of Austral-Asia
- Providing effective second line “check and challenge” to assist GA in meeting its conduct and regulatory obligations.
- Participating in transaction-specific committees, including GA Risk, Due Diligence and Sponsor Take-On Committees.
- Advising on regulatory requirements including, but not limited to, the FCA Handbook, MAR and MiFID.
- Providing subject matter expertise in relation to the UK Takeover Code and Listing Rule 8, and supporting interactions with the UK Takeover Panel and the Sponsor supervision team at the FCA
- Providing input to Conflicts Compliance on enhanced (Rule 3 and Sponsor) conflicts reviews