About Mike Booth

I act as a trusted advisor to financial services business and specialise in providing pragmatic and proportional ways for UK firms to comply with UK and European regulations. My experience has been gained through in-house and consulting roles, in addition to 14 months at the FCA. In 2016 I was recognised in Financial News’ Top 40 under 40: The rising starts of legal services. I cover asset management (all asset classes), wealth management, broking and asset servicing businesses (administrators, depositaries, custodians, payments). My coverage includes: Alternative Investment Fund Managers Directive, Directive on Undertakings for Collective Investment in Transferable Securities, Market Abuse, Financial Crime, Data Protection, Prudential and Conduct rules, Best Execution, Market Surveillance, Compliance Outsourcing, Markets in Financial Instruments Directive, PRIIPS, strategic support and technical advice to MLROs and Heads of Compliance, derivative valuations, valuation waterfall policies, AML, Bribery Act, ICAAPs, Enterprise Risk Frameworks, fund launches and investment management agreements, Transaction Cost Analysis, Payments, E-Money.