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 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.