Angle Financial & Legal Consulting

Compliance and Regulatory Advice provided by David Ellis

Compliance

Compliance Coverage

  • Aimed at Banks, Insurers, Asset Managers, Brokers, Clearers and Service Providers
  • Available to act as an external adviser, expert witness or to or carry out healthchecks, as well as acting as an in-house legal/compliance /risk adviser
  • Expertise in implementation of regulatory change projects
  • Identifying nature of compliance/legal requirements, problem solving and project management within an agreed budget and timetable.

london

 

Key Regulatory AreasOn Investment, Capital, Insurance and Derivative Market New Regulations

  • FSMA and FCA/ PRA Handbooks
  • Basel, Pillar, CRD and Solvency capital requirements
  • MIFID
  • EMIR/MIFIR – Trade reporting
  • FATCA
  • AIFMD/UCITS
  • GDPR
  • Brexit
  • Financial reporting & Remuneration Codes
Business and Legal Advice Areas

  • Business agreements reflecting new business models
  • Advice on interpreting key regulations and service/product  terms
  • Drafting/revising policies and addressing external regulatory reporting, internal requirements & management information
  • Analysing and explaining impacts of new UK/EU proposals and EU/US regulations
  • Covering new areas of data handling, crowdfunding & digital marketing; alternative funds regulations; new financial reporting requirements and operational issues & governance