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Keith Waine

Partner, Head of Financial Regulation

Dublin

Financial Regulation

+353 1 673 1822 Linkedin
Keith Waine

Keith is Head of the firm's Financial Regulation team. He provides advice to domestic and international clients on a wide range of regulatory issues, including regulatory perimeter queries, licensing applications, prudential requirements 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 issuers and service providers.

He has 25 years' experience, including 10 years working in-house at two leading international banks and as co-founder of an alternative mortgage lender, and 8 years in London at a 'magic circle' law firm.

Keith is a member of several industry bodies and is a frequent author and speaker on financial regulatory topics.



Keith is Head of the firm's Financial Regulation team. He provides advice to domestic and international clients on a wide range of regulatory issues, including regulatory perimeter queries, licensing applications, prudential requirements 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 issuers and service providers.

He has 25 years' experience, including 10 years working in-house at two leading international banks and as co-founder of an alternative mortgage lender, and 8 years in London at a 'magic circle' law firm.

Keith is a member of several industry bodies and is a frequent author and speaker on financial regulatory topics.



Relevant Experience

Acting for a UK investment firm in relation to its establishment and authorisation in Ireland to provide MiFID services across the EU

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

Testimonials

Very knowledgeable and understanding of our business needs.

IFLR1000

Testimonials

He is a pleasure to do business with. He is very responsive, knows the regulatory side of the business very well, and communicates in a very open, frank and honest manner.

IFLR1000

Testimonials

Very responsive, excellent knowledge and expertise, thorough research of the subject matter with good solutions.

IFLR1000

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