MiFID Investment Services (and IIA)

Our Financial Services team acts for the full range of providers of MiFID investments services into or out of Ireland. Our clients include portfolio managers, investment advisers, placing agents, high frequency traders, share/registration firms, order routers, brokers and wealth managers.

We advise clients at every stage of their investment services business – from setting up the business to operational and ongoing compliance issues.

Our services cover establishment and authorisation issues, capitalisation and capital adequacy, client assets, governance, passporting, interaction with regulators and general compliance matters. We advise firms on client categorisation, on product governance, on transaction reporting and on the full range of legal and regulatory requirements, including EMIR, AML, data protection, fitness and probity. We work with clients on their terms of business and services agreements (eg. IMAs), and on a wide range of operational policies and procedures. Our experienced professionals devise and deliver training for clients on key industry topics.

We offer our financial services clients access to a full range of business law services, including access to expert input from our colleagues in the firm’s Corporate, Tax, Real Estate, Banking and Finance, Employment and Regulatory Investigations teams.

We also work with clients operating under Ireland’s Investment Intermediaries Act, 1995 (IIA) regime, including fund administrators, custodial services providers, product producers and a variety of intermediaries. Our services cover advice on establishment and authorisation issues, on capitalisation and capital adequacy, client assets, governance, interaction with regulators and on general compliance matters.

Related Contacts

Donnacha O'Connor
Head of Department

Breeda Cunningham­
Head of Department

Karen Jennings
Senior Associate

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