Alix Prentice

Partner

  • Admitted: England and Wales, 1996
  • Year joined: 2016
  • Year became partner: 2016

Overview

Alix has over 16 years of experience (some gained at the regulator) of advising on regulatory requirements across a range of industries and asset classes. Clients have included family offices and private investors, hedge and other alternative fund managers, private equity, banks, broker-dealers, custodians, distributors and issuers. Alix offers guidance and advice on both day-to-day regulatory requirements and the unexpected challenges financial services businesses face, such as extraordinary disclosures to regulators, regulatory investigations and challenges to applications.

Alix advises across a range of regulated products, and has a particular interest in alternative investment funds and the documentation of investments into these vehicles (Investment Management Agreements, Investment Advisory Agreements, Distribution Agreements and Custody Agreements). She also has significant experience of regulated mergers and acquisitions, some involving complex changes of control. Alix regularly deals with and takes clients through regulatory applications, including Approved Persons, requests for Individual Guidance, applications for authorisations for new businesses and variations of existing permissions, as well as applications for changes in control. Having spent over 10 years in practice in US-headquartered law firms (some of which in New York and Washington), she is well-versed in assisting US financial services businesses come into the UK.

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