Keith Waine

Partner | Dublin
Financial Regulation

Keith is Head of Financial Regulation team. He specialises in financial services regulation and provides advice to domestic and international clients on a wide range of regulatory issues, including structuring, licensing, prudential requirements and sectoral conduct of business rules.

Keith's clients include broker-dealers, wealth and asset managers, private equity firms, insurers, banks, non-bank lenders, payments 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 Licentiate of the Compliance Institute of Ireland and is a frequent author and speaker on financial regulatory topics.

Recent representative instructions include:

  • 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.

Related Practice Areas

Financial Regulation

Banking Regulation

Data Protection and Information Management

Payment Institutions and E-Money Firms

Regulatory Investigations

Authorisation and Establishment


University College Dublin

The University of Law, London

The Law Society of England and Wales

The Law Society of Ireland