Financial Regulation Partner, Global Practice Head Financial Regulation Group, London
Hong Kong SAR, UK (England & Wales)
Carl holds a Bachelor of Commerce and Bachelor of Laws (Hons) from Murdoch University, Western Australia.
Carl has over 25 years of experience across the Hong Kong SAR and UK markets advising a wide range of financial services clients, including multi-disciplinary investment banks, broker-dealers, custodians, asset managers (including hedge funds and private equity/credit funds), private banks and fintechs.
Carl advises on a broad range of complex regulatory issues, with a particular focus on the scope of licensing requirements in the context of cross-border business, the full range of wholesale market conduct requirements and restrictions, and the design, development, and implementation of systems and controls to manage these regulatory risks.
Carl provides advice on these issues in a wide variety of contexts, including influencing and implementing regulatory reform, assisting clients with evolutionary changes to their business platforms, supporting clients through intense supervisory or enforcement interactions with regulators, and conducting due diligence and structuring acquisitions or disposals of regulated businesses.
Carl has been recognised by legal ratings agencies for his work in both Hong Kong and the UK.
Carl’s experience has included advising:
Carl is regularly called on to contribute to various industry fora. He has recently delivered a series of lectures for Finance Unlocked on wholesale markets regulation and regulating trading behaviour.
Carl’s recent publications include:
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