Vanessa Walters is an associate in Ropes & Gray’s asset management group specialising in financial services regulation. She advises both UK-based firms and overseas firms who wish to provide investment services in the UK market. Her work includes advising clients on the impact of UK and EU regulatory requirements on their activities.
Vanessa advises in particular on issues arising from conduct of business requirements including client documentation and disclosures, financial promotions, anti-money laundering, suitability and distribution. She has also been involved in the structuring of alternative investment funds.
Vanessa has also advised a number of start-up innovative fintech investment platforms on their regulatory requirements, assisting them in obtaining the regulatory permissions required and drafting their client documentation.
- Advising on FCA rules and guidance in particular COBS, SUP, SYSC, financial promotions and CASS*
- Assisting with drafting client take-on documentation, terms of business, order execution and conflicts policies and advising on issues relating to anti-money laundering checks and suitability assessments*
- Assisting with applications for authorisations to the FCA to carry on regulated activities and variations of the same*
- Preparing client documentation for an investment manager together with advising on disclosures required under the Alternative Investment Fund Managers Directive*
- Advising on UK regulatory changes including the impact of the UK leaving the EU*
- Advising on market abuse regulation in the UK*
- Advising clients in non-EEA jurisdictions on regulatory issues arising from distribution of financial services and products into the UK*
- Advising a large charity on custody arrangements with a leading investment bank*
*Experience prior to joining Ropes & Gray
DisclaimerRopes & Gray International LLP is a limited liability partnership registered in Delaware, United States of America and is a recognised body regulated by the Solicitors Regulation Authority (with registered number 521000).
- Legal Practice Course, Distinction, BPP Law School, 2006
- Graduate Diploma in Law, BPP Law School, 2005
- BA (French and History), Warwick University, 2004
Admissions / Qualifications
- England and Wales, Solicitor, 2009