Simon Lafferty


Phone: +44 (0)20 7861 4932

Simon is a financial regulatory lawyer who advises a broad range of clients including investment funds, investment firms and asset managers and other financial institutions such as banks and broker-dealers. Simon advises on all aspects of EU and UK financial regulation, including on:

  • Structuring and formation of financial services businesses
  • Authorisation and regulatory perimeter issues (e.g., under FSMA 2000 and the FCA Handbook)
  • Regulatory regimes applying to various investment products (e.g., PRIIPs, UCITS)
  • Trading and reporting of derivatives and securities financing transactions (e.g., under EMIR, MiFID II, SFTR)
  • Impact of Brexit on financial services businesses (e.g., passporting, contractual continuity)
  • Compliance issues (e.g., market abuse and anti-money laundering)
  • Corporate governance and conduct of business requirements
  • Regulatory issues arising from financial services mergers and acquisitions.

Simon Lafferty, Associate

Recommended Reading from Simon

Company no. 0C425693. Cummings Fisher is authorised and regulated by the Solicitors Regulation Authority under SRA number 658842.