Advising a leading wealth management firm on its establishment and authorisation in Ireland to service the EU market.
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Financial Regulation
Our dedicated Financial Regulation team provides a comprehensive service for international and domestic financial services providers, including investment firms, banks, insurers, trading platforms, fund service providers, non-bank lenders, payments firms, and crypto asset service providers
Our experienced team advise on all aspects of regulatory compliance, risk management, investigations and enforcement. From start-ups requiring guidance through an authorisation process to market leading firms navigating regulatory change and implementation projects, we provide strategic, technical and commercial advice tailored to meet each client’s needs.
The Financial Regulation team works closely with specialist colleagues in other practice teams, including Financial Services, Corporate and M&A, Taxation, Listings, Employment and Litigation and Dispute Resolution.
We regularly provide client information and training on current regulatory and compliance topics – hosting business breakfast briefings and producing newsletters and legal updates.
Relevant Experience
Advising an online retail brokerage on its establishment and authorisation in Ireland under MiFID.
Advising a leading international insurer on outsourcing, operational resilience and other regulatory requirements pertaining to the migration of its third party administration services.
Assisting an international fund administration group with its establishment and authorisation.
Preparing a jurisdictional regulatory gap analysis for a leading international investment bank.
Advising a non-profit organisation in relation to the setting up of an Alternative Investment Fund Manager.
Advising an Italian fintech lender in relation to its anti-money laundering, credit reporting and other regulatory obligations.
Advising a US fintech in relation to its establishment and authorisation in Ireland as a Virtual Asset Service Provider.
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Key Contacts
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We have expertise across a range of industries with with offices in Dublin, Cayman Islands, New York and Tokyo
