TOM HUNTER supports clients in matters of financial services regulation and compliance. In the context of the EU and UK regimes governing financial institutions, financial markets (including their infrastructure and participants) and financial services businesses, Tom focuses on the following issues:
- Criteria and procedures for establishing regulated operations, and obtaining authorization to do business.
- Rules on approved persons, remuneration, senior management and systems and controls; conduct of business; financial promotion; insider-dealing and other aspects of market abuse; and regulatory capital and prudential standards.
- Obligations regarding anti-money laundering policies and procedures.
- Sector-specific matters, in particular those relating to alternative investment fund management, consumer credit, payment services and securitization.
Tom advises on both EU and English law, including the EU’s measures on Alternative Investment Fund Managers (AIFMD), Capital Requirements (CRD/CRR), Market Abuse (MAR), Markets in Financial Instruments (MiFID/MiFIR), Money Laundering (MLD) and Payment Services (PSD); requirements under the UK’s Financial Services and Markets Act and related legislation; and the rules of the UK’s Prudential Regulation Authority (PRA) and Financial Conduct Authority (FCA).
Tom has more than 25 years’ experience in legal roles at leading global law firms, including positions as:
- Associate in two of London’s pre-eminent structured finance teams.
- Professional support lawyer and knowledge manager for a number of finance, regulatory and corporate reorganization practices.
- Most recently, European director of professional development at Sidley.
Tom has been with Sidley for more than 10 years, and joined our Financial Services Regulatory Group as an associate in 2017.