With a long history as a practitioner within the investment management sector and in financial services regulation, Graham specialises in assisting and advising on a breadth of regulatory legislation and FCA rules. These include; authorisation, regulatory supervision, systems and controls, documentation, FCA fees and other specific issues that may arise within regulated firms.
Graham’s early career was in the insurance industry where he was Head of UK Money Market Operations with one of the US’s largest broking firms. In the late eighties, he moved to the investment banking sector as a Senior Investment Manager specialising in the management of fiduciary funds for the insurance industry. He later joined Seccombe Marshall & Campion, the then bill broker to the Bank of England, to establish an investment management business with a much broader client base focus.
Graham went on to spend eight years with the then Financial Services Authority (now the Financial Conduct Authority) as a Senior Associate with direct supervisory responsibility for authorised firms. Later succeeding to the role of Project Manager dealing with cross FSA issues embracing various industry sectors.
Graham joined CCL in 2007 initially preparing an industry advisory paper on what is now known as MiFID I (Markets in Financial Instruments Directive). Also providing advice to firms such as asset managers, brokers and dealers, corporate finance and private equity houses, wealth management firms and banking institutions.
Recent advisory work includes:
- Preparation for MiFID II
- Preparation for SM&CR
- Guidance with AIFMD requirements
- Assisting firms suffering regulatory sanctions
- Assisting firms with FCA authorisation under:
- FSMA, AIFMD and PSD2
- Change in Control
- Variations of Permissions
- FCA fees