Puesan LamLegal Director
Puesan advises clients on a wide range of regulatory and compliance matters, including: authorisation and perimeter issues; prudential and conduct of business requirements, regulatory filings, regulatory investigations, insider dealing and market manipulation issues and EU regulatory matters, such as MiFID I/II, MAR, 4MLD, EMIR, AIFMD, IMD/IDD and PSD.
She is a contributing author for Lexis Nexis Financial PSL.
- Section 166 investigation (appointed by the FCA) into the complaint handling processes of a UK bank
- Advising a range of UK regulated entities on Senior Management Arrangements, Systems and Controls requirements, remuneration matters and obligations in relation to treating customers fairly
- Coordinating and managing regulatory and compliance due diligence reviews across numerous jurisdictions in connection with potential IPOs and acquisitions of regulated businesses
- Advising former OFT licensed firms on the new FCA consumer credit regime
- Advising a major UK insurance firm in relation to a parallel enforcement and Skilled Person investigation bought by the FCA into insurance mis-selling, governance and oversight structure, and complaints handling
- Advising a German bank on its options under the UK's regulatory framework in the event of a "hard Brexit"
- Advising a high-frequency commodities trading firm on MiFID II requirements
- Advising crowdfunding operators on regulatory perimeter and marketing issues in the UK and assisted one crowdfunder with its launch into the UK
- Advising clients on regulatory outsourcing requirements, including advising a client on their material contracts and identifying whether these were SYSC 8 contracts and amendments to be made to draft outsourcing agreements
- Advising non-EU asset managers on marketing issues and remuneration disclosures under AIFMD
- Post Graduate Diploma in Legal Practice, Distinction
- University College London, LLM
- University College London, LLB (Honours)