Mike Booth

Partner | Regulatory Solutions


Mike leads MJ Hudson’s Regulatory Solutions practice, which provides tailored compliance services, in addition to “plug and play” solutions, for all types of investment businesses – buy side, sell side and everything in between. The primary goal of Mike’s practice is to help clients’ businesses whilst mitigating compliance risk.

Clients

  • Fund Managers
  • Institutional Investors & Advisers
  • Family Offices & Private Wealth
  • Service Providers to the Fund Industry
  • Banks

Experience

Mike acts as a trusted advisor to financial services businesses 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. In 2017 and 2018 he won the award for Most Outstanding Compliance Consultant at the Compliance Register awards.

Mike’s practice covers: Alternative Investment Fund Managers Directive (AIFMD); Directive on Undertakings for Collective Investment in Transferable Securities (UCITS); market abuse; financial crime; data protection; prudential and conduct rules; best execution; FCA/PRA authorisations; market surveillance; Markets in Financial Instruments Directive (MiFID); PRIIPS; strategic support and technical advice to MLROs and Heads of Compliance; derivative valuations; valuation waterfall policies; AML; Bribery Act; ICAAPs; SMCR; financial promotions; marketing of AIF; enterprise risk frameworks; fund launches and investment management agreements; transaction cost analysis; payments and e-money.