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Rachael Ellis
Associate

Rachael Ellis is part of the financial services regulatory group, advising clients on commercial matters as well as contentious regulatory issues.

Rachael has particular experience of conducting terms of business and agreement reviews, providing perimeter advice and advising on systemic risks, such as regulated complaints.

Relevant work

  • Drafting multiple firms' client intermediary agreements in preparation for MiFID II
  • Advising on investment management firms' distribution of retail investment products and services via intermediaries (including robo-advice)
  • Advising on 'conduct regulation' including issues and strategy in relation to regulated complaints and TCF
  • Giving perimeter advice on what constitutes a regulated product or service 
 

Memberships

PIMFA

Fraud Services Lawyers Association