Sam Maxson

  • Associate
  • Esam.maxson@lw.com
  • 99 Bishopsgate
  • London EC2M 3XF
  • United Kingdom
  • T +44.20.7710.1823
  •  
 

Profile

Sam Maxson is an associate in the London office of Latham & Watkins.

Mr. Maxson regularly advises a wide range of clients (including banks, insurers, investment firms, financial markets infrastructure providers, and technology companies) on all aspects of financial regulation. Mr. Maxson has a particular focus on fintech and InsurTech, advising both established and emerging businesses on the application of global financial regulation to new and novel uses of technology in finance and insurance. His expertise also extends to the increasingly widespread interest in cryptoassets and "tokenisation" of financial markets.

Mr. Maxson's experience includes representation of:

  • Distributed ledger technology (DLT) specialists Clearmatics and a consortium of leading investment banks on the Utility Settlement Coin project to develop a DLT-based payment system*   
  • A leading investment bank on legal and financial regulatory aspects of offering cryptocurrency trading services to its clients*   
  • An online peer-to-peer platform for the sale and purchase of fractional interests in buy-to-let properties on technical financial regulatory aspects of an application for authorization*   
  • A leading investment bank and investment exchange operator on a joint venture to develop an innovative multilateral trading platform*   
  • A potential purchaser of an equity stake in challenger bank Tandem Bank in relation to change in control approvals and financial regulatory due diligence*   
  • An insurer on the authorization and ongoing financial regulatory requirements relating to an innovative project to provide account aggregation and payment initiation services*   

During 2017, Mr. Maxson was seconded to Aviva UK Digital working from Aviva’s “Digital Garage” in Hoxton Square, London. During his time at the Digital Garage, he acted as the primary legal contact for the Aviva UK Digital Data Analytics Team and the Aviva Group Innovation Team advising on a broad range of legal issues involved in the delivery of digital assets including financial regulation, data protection and privacy, and outsourcing. He was the lead Aviva UK Digital legal adviser in the acquisition by Aviva of a majority stake in the “robo” investment manager Wealthify and engaged regularly with Aviva-sponsored fintech and InsurTech startups through technology startup incubator Founders Factory.

 *Matter handled prior to joining Latham

Thought Leadership

  • Second FCA Consultation on New Prudential Regime for Investment Firms -  April 21, 2021
  • 10 Key Focus Areas for UK-Regulated Financial Services Firms in 2021 -  January 11, 2021
  • PRA Publishes Findings on Its Evaluation of the SMCR -  December 18, 2020
  • United Arab Emirates – New Regulations for Stored Value Facilities -  November 30, 2020
  • UK Firms Granted Extra 15 Months for Brexit Onshoring Preparations -  October 14, 2020
  • Crypto-Asset Trading Platforms: Another Regulatory Trip Around the World -  October 05, 2020
  • The MAR Review — ESMA’s Final Report -  September 24, 2020
  • European Commission Proposes Changes to MiFID II Due to COVID-19 -  July 31, 2020
  • UK Government Proposes to Strengthen Protections Around Promotion of Financial Products and Cryptoassets  -  July 24, 2020
  • Bank of England Selected to Host New Innovation Hub Centre -  July 02, 2020
  • FCA Consults on Post-Brexit Prudential Regime for Investment Firms -  June 24, 2020
  • FCA Fails to Find Its Watersheds Moment in Adams v. Options SIPP UK LLP -  June 18, 2020
  • European Parliament Calls for New EU Common Framework for Cryptoassets -  June 17, 2020
  • European Commission Publishes Draft Delegated Regulations on ESG Disclosures in Benchmarks -  May 04, 2020
  • New Draft Regulatory Technical Standards Under the EU Benchmarks Regulation -  March 31, 2020
  • FCA Calls on Firms to Develop a Purposeful Culture -  March 06, 2020
  • MiFID Refit — Commission Consults on Review of MiFID II Framework -  February 27, 2020
  • ESMA Provides Its Input on the BMR Review -  February 20, 2020
  • AMF Proposals to Revive the Research Industry in France -  February 19, 2020
  • Key Takeaways from ESMA’s recent MiFID Transparency Consultation Papers -  February 14, 2020
  • Third-Country Firms Operating Cross-Border Into the EU — Upcoming Reform -  January 14, 2020
  • Crypto Coming of Age: UK Regulation Hits Cryptoasset Business  -  January 10, 2020
  • Brexit: 10 Commonly Asked Questions -  January 07, 2020
  • FCA Consults on SMCR for Benchmark Administrators -  December 03, 2019
  • ESAs Consult on Amendments to the PRIIPs KID -  November 25, 2019
  • FCA Warns Firms of Conduct Risk During LIBOR Transition -  November 22, 2019
  • Global Legal Insights: Blockchain & Cryptocurrency Regulation 2020 – United Kingdom -  November 18, 2019
  • Review of the EU Benchmarks Regulation -  October 17, 2019
  • ESMA’s Consultation Paper on the MAR Review -  October 11, 2019
  • Research Unbundling — FCA Finds Rules Working Well -  September 23, 2019
  • Key Emerging Regulatory Issues and Focus Areas for Institutional Asset Managers -  September 19, 2019
  • Crypto-Asset Trading Platforms: A Regulatory Trip around the World -  August 13, 2019
  • FCA Confirms SMCR Optimisations -  July 26, 2019
  • 10 Key Regulatory Focus Areas for UK/European Wholesale Markets in 2019 – Progress Report -  July 02, 2019
  • EU Kicks Off MAR Review -  May 16, 2019
  • FCA Fires Warning Shot to Brokers in Wholesale Markets -  April 30, 2019
  • FCA Consumer Research on Cryptoassets: A Summary -  March 20, 2019
  • Will Regulatory Reform Make Cryptoassets the Next Buyout Boom for Private Equity?  -  March 13, 2019
  • MiFID II Costs and Charges — Room for Improvement -  March 01, 2019
  • Brexit and Financial Services — FCA Issues Further Guidance for Firms -  February 01, 2019
  • Regulating Crypto-assets and ICOs? ESMA and EBA Consider the Benefits -  January 24, 2019
  • FCA Consults on Further Amendments to the SMCR -  January 23, 2019
  • Brexit and Financial Services — UK Equivalence Decisions -  January 21, 2019
  • European Commission Report on the Operation of the AIFMD -  January 15, 2019
  • Brexit and Financial Services — Temporary Permissions -  December 18, 2018
  • FCA Finalises Changes to its Financial Crime Guide -  December 14, 2018
  • FCA to Clarify Scope of the Client Dealing Function -  November 30, 2018
  • Brexit and Financial Services — Onshoring MiFID II -  November 05, 2018
  • UK Cryptoassets Taskforce Publishes its Final Report -  October 31, 2018
  • A New Sheriff in Town? UK MPs Call for Regulation of “Wild West” Crypto-assets  -  September 20, 2018
  • FCA to Create Global Financial Innovation Network -  August 08, 2018
  • First Details of Brexit Temporary Permissions Regime Published — Key Questions Answered -  July 27, 2018
  • Crypto Utopia -  July 17, 2018
  • Regulators Publish Final Rules on SMCR Extension -  July 04, 2018
Bar Qualification
  • England and Wales (Solicitor)
Education
  • LPC, University of Law, London Moorgate, 2014
  • BA, University of Durham, 2012
    Combined Honours in Arts (History and Politics)
Industries
  • Financial Institutions
  • Fintech
Practices
  • Capital Markets