John Dooley, Solicitor, Financial Services and Funds
I am a solicitor in the financial services and funds team.
I advise on a broad range of non-contentious regulatory matters, including FCA/PRA rules (perimeter queries, conduct of business, governance arrangements, prudential requirements, and client money and client asset rules) and compliance with the European legislation (AIFMD, MiFID).
As part of a team I am involved in many projects for the setting up and restructuring of investment funds, including UK and overseas funds (both regulated and alternative), and other financial services products.
Prior to qualifying as a solicitor I spent six years at the Serious Fraud Office working as a senior investigator. During this time I was involved in major fraud, bribery and money laundering investigations and prosecutions, and worked with national and overseas law enforcement agencies including the FSA, SOCA and the FBI.
An understanding of the business environment is important in order to provide tailored advice that caters to clients' commercial objectives. For this reason, and before undertaking my legal studies, I obtained a degree in Business Studies and Management.
I have also co-authored the following papers: