Acting for a UK investment firm in relation to its establishment and authorisation in Ireland to provide MiFID services across the EU
Keith Waine
Partner, Head of Financial Regulation
Dublin
Financial Regulation
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Keith is a Partner and Head of the Dillon Eustace Financial Regulation team.
He provides advice to domestic and international clients on a wide range of regulatory issues, including regulatory perimeter analysis, licensing applications, prudential requirements, AML, financial sanctions, and sectoral conduct of business rules.
Keith has particular experience in the establishment and authorisation of financial service providers in Ireland. His clients include broker-dealers, wealth and asset managers, private equity firms, insurers, banks, non-bank lenders, payment firms, funds service providers, and crypto-asset service providers.
Keith is a Partner and Head of the Dillon Eustace Financial Regulation team.
He provides advice to domestic and international clients on a wide range of regulatory issues, including regulatory perimeter analysis, licensing applications, prudential requirements, AML, financial sanctions, and sectoral conduct of business rules.
Keith has particular experience in the establishment and authorisation of financial service providers in Ireland. His clients include broker-dealers, wealth and asset managers, private equity firms, insurers, banks, non-bank lenders, payment firms, funds service providers, and crypto-asset service providers.
Relevant Experience
Advising a US broker-dealer in relation to regulatory perimeter issues
Advising an Irish insurer within a leading international insurance group in relation to the migration of its third party administration services and related outsourcing requirements
Acting for an innovative start-up mortgage lender in relation to its establishment and authorisation
Acting for a Fintech lender in relation to the relocation of its operating and funding entities to Ireland
Advising an international asset manager in relation to EU Anti-Money Laundering requirements
Advising an e-money institution in relation to its capital requirements
Advising the promoter of a De-Fi protocol in relation the establishment of Irish entities to engage in validation, proprietary trading and market-making activities
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