Julia Dixon – fantastic new hire, adds crucial financial regulatory experience.”
- The Legal 500 UK, 2024
Julia is an experienced financial services regulatory partner who advises clients on contentious regulatory investigations and proceedings, non-contentious advisory matters and transformational projects and transactions. She is noted in The Legal 500 UK (2024) for her “crucial financial regulatory experience”, with clients describing her as “very bright and personable”.
Julia advises a range of global private equity funds on fund structuring, operational matters and cross border marketing under the AIFMD. She also advises on the regulatory aspects of public and private M&A transactions. Julia has experience advising in connection with diverse financial services segments including banking, asset management, insurance, wealth management, payment services and financial markets infrastructure. She regularly counsels clients in connection with complex cross-border deals and regulatory approval processes.
Her broad advisory practice means that Julia regularly advises on authorisation, licensing and permission requirements for firms, the establishment of compliance programmes and arrangements for monitoring and testing, perimeter issues and regulatory issues and compliance with UK/EU regulation, including the promotion and marketing of financial products, conduct of business, conflicts of interest, market abuse and insider dealing.
Julia has extensive experience in governance and has worked extensively with Boards, non-executive directors and executive management teams, advising on governance matters, the design and assurance of systems and controls, and oversight and implementation of material regulatory change programmes. She has worked closely with a number of institutions across the banking, insurance and asset management sectors to implement and embed the requirements of the UK Senior Managers and Certification Regime. Her contentious regulatory experience combined with time spent on secondment gives her unparalleled insight into regulatory expectations and how practically to satisfy these.
Julia’s experience of UK, European and overseas enforcement proceedings is deployed both in the context of transactional mandates and in her representation of sponsors and portfolio companies on standalone contentious regulatory issues. She has counselled and acted for numerous clients in connection with FCA/PRA approval interviews for senior managers, FCA/PRA supervisory visits or requests for information, s166 Skilled Person reviews, internal investigations and regulatory enforcement investigations and/or inquiries undertaken by the FCA, PRA, Lloyd’s of London, ESMA and other overseas regulators. Julia has represented clients on a range of issues including authorisation requirements, conduct of business, conflicts of interest, culture, management systems and controls, senior manager fitness and propriety, market abuse and non-financial misconduct.
