Ian McLaughlin - Solicitor
Ian, is a Financial Services Regulatory and Capital Markets solicitor with approaching 20 years’ experience in advising international financial services institutions and fintechs. His practice includes regulatory authorisations and investigations, corporate governance, market conduct, financial crime, securities finance, derivatives and fintech regulation. He also has extensive experience offering fractional general counsel and legal/regulatory project management execution services. Ian is an experienced Non-Executive Director and Board & Committee Chair.
He is qualified in England & Wales (2010), Ireland (2008) and as an Attorney in New York (2006). He previously worked for Dillon Eustace, Maples, Bank of Ireland and National Bank of Canada.
Recent Instructions include:
· Regulatory authorisations and extensions of permissions:
o Assistance to a Securities Finance Market Infrastructure participant to establish a Multi-Lateral Trading Facility ("MTF") in achieving its MIFID authorisation in Ireland;
o Leading the authorisation of a Commodities Broker as an Organised Trading Facility (“OTF”) in Ireland.
o Leading the authorisation of a FCA authorised branch of an EEA MTF and OTF.
o Leading the MIFID authorisation of a securities finance proprietary trading firm in Ireland.
o Viability assessments of the UK, Ireland and other jurisdictions as locations for financial services firms.
o Preparing and Advising on submissions to ESMA and FCA on behalf of market participants in respect of the regulatory perimeter for Trading Venues.
· Advising several financial service providers (investment firms, electronic money institutions and payments firms) with regard to their outsourcing and operational resilience frameworks.
· Advising on ICAAP/ICARA processes for investment firms.
· Advising on the establishment and maintenance of UK and EEA “regulatory watch” scoping obligations under MiFID II / MiFIR, IFD/IFR, EMIR, CRD IV / CRR, FCA and Central Bank of Ireland guidelines.
· Negotiation of ISDA, GMRA, GMSLA, custody and prime brokerage documentation. Review of the enforceability of netting and collateral opinions.
· Due diligence exercises / supports to acquirers / sellers of regulated entities.
· Prospectus review and applications to list debt securities and derivatives on international markets.
He holds an LLB (Hons.) Law from the University of Wales and a Higher Diploma in Business Studies from University College Dublin. In addition, he is Chartered Company Secretary and an Associate of the Chartered Governance Institute.
Areas of Expertise
Capital Markets
Financial Crime
Financial Services Regulation (Retail and Institutional)
Market Conduct
Regulatory Investigations