Alix Prentice

Alix Prentice

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Alix is a partner in the London office of King & Wood Mallesons. She specializes in advising on the regulation of banks, financial and asset managers.

Alix has over 18 years of experience (some gained at the regulator) of advising on regulatory requirements 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 and issuers.

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, some involving complex changes of control.

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

  • Restructuring of the UK operations of large Asian state-owned asset managers.
  • MIFID II on inducement 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 providers 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.
  • 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, funds platforms of securities, whole loans and fund investments into the UK and Europe and associated regulatory issues.

Languages 

  • English

Qualifications (only qualified jurisdictions of practice) 

  • Solicitor, England and Wales

Location

Legal insights

Chancellor of the Exchequer, Philip Hammond, announced the UK Budget on 29 October 2018. This analysis highlights some key UK tax changes that may interest both UK and non-UK residents.

20 November 2018

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