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.


  • 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.


  • English

Qualifications (only qualified jurisdictions of practice) 

  • Solicitor, England and Wales


Legal insights

As of 11 pm on 31 December 2020, the transitional period for the UK’s departure from the EU will end, and EU legislation that has been ‘onshored’ will come into force

09 November 2020

As the pandemic accelerates, European regulators continue to shore up what they can of the financial system by relaxing, clarifying

14 April 2020

As the pandemic accelerates, European regulators have moved fast to shore up what they can of the financial system

26 March 2020

On 10 January 2020, the Fifth Money Laundering Directive (5MLD) was implemented in the UK via The Money Laundering and Terrorist Financing (Amendment) Regulations 2019

05 March 2020

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