Julia is an experienced financial services regulatory partner who advises clients on contentious regulatory investigations and proceedings, non-contentious advisory matters and transformational projects and transactions. She is noted in The Legal 500 UK (2022) for “strategic regulatory engagement and regulatory risk identification and management”, with clients describing her as “very commercial and pragmatic”.
Her broad advisory practice means that Julia regularly advises on authorisation, licensing and permission requirements for firms, the establishment of compliance programmes and arrangements for monitoring and testing, and regulatory issues and compliance with UK/EU regulation, including the promotion and marketing of financial products, conduct of business, conflicts of interest, client money and assets, market abuse and insider dealing.
Julia has worked extensively with Boards, non-executive directors and executive management teams, advising on governance matters, the design and assurance of systems and controls, and oversight and implementation of material regulatory change programmes. She has worked closely with a number of institutions across the banking, insurance and asset management sectors to implement and embed the requirements of the UK Senior Managers and Certification Regime. Her contentious regulatory experience combined with time spent on secondment gives her unparalleled insight into regulatory expectations and how practically to satisfy these.
She has counselled and acted for numerous clients in connection with FCA/PRA approval interviews for senior managers, FCA/PRA supervisory visits or requests for information, s166 Skilled Person reviews, internal investigations and regulatory enforcement investigations and/or inquiries undertaken by the FCA, PRA, Lloyd’s of London, ESMA and other overseas regulators. Julia has represented clients on a range of issues including authorisation requirements, conduct of business, conflicts of interest, culture, management systems and controls and non-financial misconduct.
Admissions & Qualifications
- 2009, Admitted to Practice as a Solicitor of England and Wales
- Gonville & Caius College, University of CambridgeM.A.2009
- Oxford Institute of Legal PracticeLegal Practice Course2006
- Gonville & Caius College, University of CambridgeB.A., Law2005