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Mike Booth, Regulatory Director

Mike Booth

Regulatory Director

Practice areas

  • ES / Agile
  • ES / Consulting
  • Financial institutions
  • Financial services and markets regulation
  • Investment funds and asset management
  • Private equity
  • Real estate

Practice notes

Mike is a Regulatory Director within the Eversheds Sutherland Regulatory Consulting practice. He has been working as a trusted advisor to asset managers for over 9 years and specialises in providing pragmatic and proportional ways for UK firms to comply with UK and European regulations. His experience has been gained through in-house and consulting roles, in addition to 14 months at the FCA where he worked within the team that provide guidance to the supervision teams for investment fund managers.

Previous projects include:

  • Acting as a technical relationship manager for 25 investment managers across all asset classes, focusing on regulatory change, GABRIEL reporting, Annex IV reporting, compliance monitoring, policy updates and board reporting;
  • Leading a Section 166 skilled person report for an asset manager in relation to compliance effectiveness, governance, derivative processes, financial risk management and operational risk management;
  • Leading a Section 166 skilled person report for an asset manager in relation to CASS compliance with a focus on accurate internal and external reconciliations;
  • Technical lead for an assurance review in relation to compliance with COLL investment restrictions with a focus on derivative pre and post trade controls;
  • Internal audits of investment management governance frameworks;
  • Internal control review of back and middle office processes at a top tier service provider;
  • Review of an investment managers training and competency framework; and
  • Completion or review of ICAAPs for BIPRU firms;
  • FCA Authorisations; and
  • AIFMD Implementation.

Publications


Supporting change - Our four pillar approach to MiFID II

We offer a unique “one stop” combined approach to regulatory change projects. Eversheds’ Financial Services Consulting includes experienced compliance and regulatory professionals, who have significant consulting experience across different businesses.

MiFID maps tool

Our MiFID Maps tool is designed to help with MiFID II implementation and can be used in conjunction with the MiFID II gap analysis and project implementation tools which we offer.