Joseph Scott

Joseph Scott

Associate Global Regulatory

London

+44 20 7296 2556

[email protected]

Languages

English

Joseph Scott

Overview
Experience
Credentials
Insights and events

Joseph Scott is an associate in the Financial Services Regulatory practice. He advises a range of clients, including financial institutions, private equity firms, private wealth managers, retail investment firms and FinTechs, on UK and EU financial services law and regulation.

Joseph assists clients in creating commercial solutions to issues that arise in the changing regulatory landscape, including in areas such as internal governance, regulatory permissions, outsourcing, marketing, operational resilience and the conduct of business. Having gained in-house experience during two secondments with a leading digital wealth manager, he provides practical and commercial advice and can draw upon his experience with ensuring compliance with FCA rules and other relevant regulations in the UK and EU.

Joseph also provides advice in relation to various types of financial services contracts, including investment management agreements, financial services outsourcing contracts and customer terms and conditions.

Joseph frequently advises clients in relation to retail investment products (including personal pensions). He has experience in relation to new product development, product governance and regulatory change management programmes in this context.

Joseph has extensive experience in advising on the FCA Consumer Duty, UK and EU MiFID II requirements, the ISA Regulations, CCI/PRIIPs, MAR, CASS and the UK financial promotion regime.

Joseph has previously advised clients in relation to their Power of Attorney processes and supported on bereavement matters.

Representative experience

Advising a variety of financial institutions on terms and conditions for products including ISAs, pension and insurance policies, as well as managed and self-directed retail investment services.

Advising on product launches, including on the launch of a retail investment service platform and a financial guidance tool.

Carrying out extensive legal and regulatory due diligence for the acquisition of a leading digital wealth manager.

Advising several major international banks on the remediation of their technology and outsourcing agreements.

Advising a FinTech on financial promotions (including social media marketing and other communications) to ensure compliance with FCA rules and guidance.

Advising an overseas energy trading company on its activities and regulatory recognition in the UK.

Co-authoring a thought leadership white paper covering the key considerations for financial institutions to consider when entering into digital asset custody arrangements.