FCA Regulated Entities

Contact(s)

Through our London office, we counsel a wide variety of financial service and investment organizations, including banks, insurance companies, fund managers, asset managers, brokers, traders, exchanges and fund platforms, on the regulations promulgated by the Financial Conduct Authority as well as on the European Union Regulatory Reforms targeting investment business and market structures (MiFID II); alternative investment fund managers (AIFMD, the scope of which includes hedge funds, private equity and others operating outside the UCITS framework); central clearing and exchange-trading of derivatives (EMIR and MiFID II); market abuse and insider dealing (MAD II); capital regimes (CRD IV); and commodity derivatives traders (REMIT, MAD II and MiFID II).

Our relationship with, and understanding of the approach of, the FCA is guided by UK solicitors with an in-depth knowledge of the organization and who have participated in negotiating and drafting a number of regulations and directives.

Our advice includes counsel on FCA applications and authorization; the regulation of derivatives, commodities and energy trading; market abuse; and insider trading rules.

We also keep our clients apprised of the various international, European and UK banking reforms, working with them to plan for and ensure compliance with new and changing requirements.

FCA Regulated Entities

  • Authorization
  • Compliance policies and procedures
  • Regulatory and transaction reporting
  • Investigations and inquiries
  • Prime brokerage, financing and margin
  • Trading and clearing
  • Specialized insolvency and close-out
  • MiFID, MiFIR and AIFMD rulemaking and implementation

4 Attorneys

Damianova, Assia Special Counsel London
T. +44 (0) 20 7170 8564
Macleod, Neil Special Counsel London
T. +44 (0) 20 7170 8641
Quirolo, David Partner London
T. +44 (0) 20 7170 8635
Shiren, Nick Partner London
T. +44 (0) 20 7170 8778

Contact(s)

Nick Shiren
+44 (0) 20 7170 8778 
nick.shiren@cwt.com
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Competition Law in the Financial Services Sector | May 30 | London

Vincent Brophy will speak at this key industry event.

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