Simon Chapman > Eversheds Sutherland (International) LLP > London, England > Lawyer Profile
Eversheds Sutherland (International) LLP Offices
1 WOOD STREET
CHEAPSIDE
LONDON
EC2V 7WS
England
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Simon Chapman
Work Department
Simon is a Regulatory Director within our Regulatory Consulting Practice. He is a compliance professional with more than 25 years extensive Financial Services experience gained from working in and with a broad spectrum of Financial Services companies. Directly involved in regulatory compliance for 20+ years, both as practitioner and consultant, and has dealt with a wide range of Financial Services regulators.
Specialist in Culture, Governance and Conduct issues, Senior Management Controls, enterprise-wide regulatory Risk Assessment. Simon also has experience of specialist projects including Skilled Person Reviews, due diligence investigations and past business reviews.
Simon has experience or providing consultancy services to many sectors including Wealth Management, Asset Management, Mortgage and General Insurance Intermediation, Life Assurance and Pension Funds, Wrap Platforms/Account Aggregation, SIPP Operators, Investment Banking, Corporate Finance, Broker Dealers, Private Equity and Venture Capital.
Examples of Previous Projects:
• Managed a number of Past Business reviews across a variety of industry sectors (both client driven reviews and Regulator instigated reviews)
• Led projects to deliver outcomes in relation to Governance, Systems and Controls, Culture and Ethics.
• Led work on several S166 investigations relating to suitability of advice, appropriateness of non-advised transactions and governance.
• Experienced in assessment of CASS compliance for firms handling client money and assets.
• Worked directly with numerous firms on financial resources issues, helping them to understand Financial Conduct Authority (FCA) reporting requirements and delivery under the GABRIEL reporting system, and capital resources requirements under BIPRU and GENPRU.
• Oversight of and practical involvement in internal capital and risk assessment processes for investment firms.
• Implemented an audit monitoring programme assessing systems and controls against regulatory requirements and internal procedures. Reviewed new client business against advisory regulatory requirements and financial promotions approval.
• Involved in projects to identify regulatory requirements in overseas jurisdictions for UK-based firms wishing to provide branch and other services, in non-EEA territories.
Position
Regulatory Director
Top Tier Firm Rankings
- Public sector > Education: institutions
- Employment > Health and safety
- Public sector > Infrastructure (parliamentary)
- Investment fund formation and management > Real estate funds
- Corporate and commercial > M&A: Lower Mid-Market Deals, £100m-£750m
- Employment > Pensions (non-contentious)
- Employment > Pensions: dispute resolution
- Real estate > Property litigation
- Transport > Rail
- Investment fund formation and management > Retail funds
Firm Rankings
- Public sector > Administrative and public law
- Corporate and commercial > Commercial contracts
- Real estate > Commercial property: corporate occupiers
- Real estate > Commercial property: investment
- Risk advisory > Data protection, privacy and cybersecurity
- Public sector > Education: schools
- Employment > Employers
- Corporate and commercial > Equity capital markets – small-mid cap
- Investment fund formation and management > Hedge funds
- Insurance > Insurance: corporate and regulatory
- Corporate and commercial > International business reorganisations
- Public sector > Local government
- Corporate and commercial > Private equity: transactions - mid-market deals (up to £250m)
- Insurance > Product liability: defendant
- Industry focus > Retail and consumer
- Corporate and commercial > VAT and indirect tax
- Dispute resolution > Banking litigation: investment and retail
- Dispute resolution > Commercial litigation: mid-market
- Dispute resolution > Commercial litigation: premium
- Real estate > Commercial property: development
- Real estate > Construction: contentious
- Employment > Employee share schemes
- Corporate and commercial > EU and competition: trade, WTO anti-dumping and customs
- Corporate and commercial > Financial services: contentious
- TMT (technology, media and telecoms) > Fintech
- Insurance > Insurance and reinsurance litigation
- Dispute resolution > International arbitration
- TMT (technology, media and telecoms) > IT and telecoms
- Investment fund formation and management > Listed funds
- Real estate > Planning
- Insurance > Professional negligence
- Real estate > Property finance
- Dispute resolution > Public international law
- Dispute resolution > Tax litigation and investigations
- Real estate > Construction: non-contentious
- Corporate and commercial > Corporate tax
- Finance > Derivatives and structured products
- Corporate and commercial > EU and competition
- Crime, fraud and licensing > Fraud: civil
- TMT (technology, media and telecoms) > Intellectual property: trade marks, copyright and design
- Projects, energy and natural resources > Power (including electricity, nuclear and renewables)
- Investment fund formation and management > Real estate funds
- Risk advisory > Regulatory investigations and corporate crime (advice to corporates)
- Industry focus > TMT
- Private client > Charities and not-for-profit
- Employment > Immigration
- Finance > Acquisition finance
- Finance > Corporate restructuring & insolvency
- Corporate and commercial > Financial services: non-contentious/regulatory
- Corporate and commercial > Venture capital