About Me

Carly is a solicitor in our Funds and Financial Regulation team and a member of the firm’s financial services sector group. She joined the team on qualification, having trained with the firm and prior to this worked in-house for four years at an FCA regulated financial services company.

She has worked on a wide range of financial services regulatory matters including in relation to the regulatory perimeter, financial promotions, insurance distribution, CASS and conduct of business.

Experience

Advising on the application of the regulatory perimeter and financial promotions rules for a wide range of financial services.

Advising on applications and notifications to the FCA including authorisations, changes to fund portfolios and change of control.

Drafting and advising on a range of client facing documentation for financial services clients including investment and digital platform clients, ensuring FCA and consumer duty compliance.

In-house experience at an FCA authorised loyalty solutions business, advising on product terms and conditions, payment services regulations, and compliance with consumer rights issues.