FS REGULATORY 2-5PQE
The firm has a strong and deep financial regulation practice globally with dedicated aprtners in London, Sydney, Hong Kong, Sydney, Melbourne, Tokyo, Beijing.......
The Financial Regulation Team acts for a variety of banks, investment banks, fund managers, clearing houses, insurers and other FCA and PRA regulated firms.
Typical work includes:
- Obtaining new authorisations/registrations;
- MiFID II advice;
- Brexit advice;
- Regulatory enforcement work;
- Drafting compliance and risk management policies and procedures;
- Regulatory aspects of product structuring and distribution;
- Cross-jurisdictional regulatory issues;
- Regulatory aspects of multilateral trading platforms;
- Management of regulatory capital;
- Conflicts of interest in full service financial institutions;
- Market abuse and insider deal
For a confidential chat, please don't hesitate to call on +44 (0)20 7691 2888 and ask for one of our dedicated consultants.