Caitlin is a partner in Baker McKenzie’s Financial Services Regulatory practice group in the London office.
Caitlin's practice focuses on advising a range of global financial institutions on complex and high value regulatory matters. She advises banks, major corporates, payment institutions and asset managers on navigating UK and EU financial services regulation. She has particular experience in advising clients on regulatory implementation projects, day-to-day compliance issues, and regulatory issues arising in the context of large-scale transactions. She also expertise in the areas of banking and wholesale financial markets regulation, in particular in the FX and fixed income space, alongside experience advising market infrastructure providers, including major international exchanges, trading platforms, clearing systems and payment services providers, on a variety of compliance issues.
Caitlin is also a member of the Baker's ESG and sustainability taskforce, and advises a range of clients on the drafting and implementation of ESG policies and the implications of becoming a signatory to the UNPRI and the Stewardship Code. Caitlin is an authority on regulatory reforms in the sustainability space and sits on a number of trade association working groups. She has recently been interviewed by Climate Action on her work and is a frequent speaker on the subject.
Representative Legal Matters
- Advising buy-side firms and asset managers on compliance with a range of regulatory reforms and obligations, including IFR/IFD, MiFID II, ESG regulation, EMIR, MAR, SFTR, the Short Selling Regulation, the UCITS Directive and the AIFMD.
- Advising a Middle Eastern bank on implementation of open banking reforms.
- Advising a number of buy and sell-side firms on compliance with SRD II.
- Advising a number of hedge funds on requirements surrounding algorithmic and high-frequency trading rules, along with controls applied by individual exchanges.
- Advising a number of payment institutions and FX brokers on the regulatory perimeter and compliance obligations.
- Advising a number of global commodity firms on compliance with REMIT, the MiFID II ancillary activities exemption, commodity derivative position limits and the market abuse regime, along with specific issues arising out of power purchase agreements.
- Advising a US CCP on its recognition application under EMIR.
- Advising a range of financial institutions on Brexit planning and strategic restructuring.
- Advising on regulatory issues connected with M&A and restructuring transactions.
- England & Wales
- New York
- Cambridge University (Bachelor of Laws)
- UCL (LLM, Banking and Regulatory Law)
Publications, Presentations and Interviews
Interviewee, "Baker McKenzie on how COVID-19 has highlighted the need to incorporate ESG into business strategy," Climate Action, June 2020
Author, "Shaping a Sustainable Economy: A Bird’s Eye View of the EU’s ESG Reform Project," Journal of Financial Transformation, May 2020
Author, "ESG Regulatory Reform: Impact on Asset Managers," Baker McKenzie Report, July 2019
Speaker, "Demystifying ESG Webinar Series 2020," Baker McKenzie Webinar Series, June-October 2020