Stuart specialises in advising firms from across the industry on to the authorisation process, in order to conduct investment business in the UK. In addition, Stuart works with authorised firms to advise on changes to their existing permissions.
Stuart has over 17 years of experience in this field, having worked on over 300 successful authorisations to date. Stuart also advises authorised firms on a wide range of matters including compliance architecture and appropriate governance arrangements. Stuart assists firms by overseeing their compliance arrangements, conducting compliance audits and performing internal compliance monitoring.
At any one time, Stuart is working on a number of routine authorisations or variations of permissions (VOPs) for asset management, broking, venture capital and corporate finance firms working with UK and overseas business partners. In addition, Stuart has extensive experience handling complex applications such as novel business products, styles and similar ground-breaking businesses.
Stuart obtained a Master’s degree in Corporate and Commercial Law from Queen Mary College, London in 1992 and qualified as a solicitor in 1996. Recent work includes: