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Alix is a partner in the London office of King & Wood Mallesons. She specializes in advising financial institutions and investors on the UK’s financial services regulatory regime.

Alix has over 20 years of experience (some gained at the regulator) of advising on regulatory requirements and relationships with regulators across a range of industries and asset classes, including advising family offices and private investors, hedge and other alternative fund managers, private equity, banks, broker-dealers, custodians, distributors, issuers and cryptocurrency businesses.

Alix has particular expertise in alternative investment funds and the documentation of investments into these vehicles. She also has significant experience of regulated mergers and acquisitions, often involving complex changes of control and due diligence exercises.

Having spent more than 10 years in practice in US-headquartered law firms (some of which in New York and Washington), Alix is well-versed in assisting US and other overseas financial services businesses coming into the UK.

Experience

  • Advising on UK regulatory treatments of crypto-backed products;

  • Assisting on responses to enquiries and investigations by UK regulators and exchanges;

  • Restructuring and sale of the UK aspects of an Australian bank;

  • Advising on market abuse policies and procedures (including for commodities derivative dealer and UK-based broker-dealer);

  • Restructuring of the UK operations of large Asian state-owned asset managers;

  • MIFID II on inducements and research product distribution for a network of European banks;

  • MIFID II on Organised Trading Facilities (OTF) status and requirements for matched principal brokers;

  • MIFID II on commodity derivatives for large state-owned energy provider’s UK derivatives dealers;

  • Client asset requirements for CFD and FX dealers.

  • Criminal Finances Act and anti-money laundering procedures and advice for a branch of an EEA bank and a number of state-owned financial and commodity enterprises.

  • Islamic finance products and compliance with PSD2 and eligibility for the deposit guarantee scheme for an Asian bank.

  • Authorisation of a full-scope alternative investment manager (listed REIT).

  • Account agreements and terms and conditions, including on-line treasury services, FX platform terms of use.

  • Marketing by US banks and funds platforms of securities, whole loans and fund investments into the UK and Europe and associated regulatory issues.

Languages 

  • English

Qualifications

  • Solicitor, England and Wales

Location

Legal insights

The arrival of the first criminal prosecution against a bank under Money Laundering Regulations (MLRs) by the UK’s Financial Conduct Authority (FCA) has led to speculation that the FCA is ramping up

05 May 2021

It’s official. On 5 March 2021 the UK Financial Conduct Authority (FCA) announced that all LIBOR settings will either cease to be published by any administrator or no longer be representative, with...

09 March 2021

As of 11 pm on 31 December 2020, the transitional period for the UK’s departure from the EU will end, and EU legislation that has been ‘onshored’ will come into force

09 November 2020

As the pandemic accelerates, European regulators continue to shore up what they can of the financial system by relaxing, clarifying

14 April 2020

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