Sector Expertise and Key Skills
Retail and Investment Banking, M&A, Corporate, Litigation, Derivatives, On-line Trading, IT/IP, SAR, HR, Risk Management, PR/Media Relations,
Compliance/Regulatory – UK, EU and Global , Company Secretary – Listed and Private and Cross Border/Matrix management of lawyers, compliance officers and HR professionals.
Dominic has created, set up and managed Legal, Compliance, Risk and HR teams. He is very experienced in managing cross-border and cross-functional teams as well as choosing, instructing and managing external lawyers in all jurisdictions including Asia, South America and Australia.
He has have experience of managing relationships with the FSA, and a number of other Regulators including BaFin, CNMV, CMVN, AMF, CBI, HCMC, CONSOB, FSB, ASX and ISA as well as the major US Regulators. He is FSA approved – CF10/CF11, and been FSB approved in South Africa and in Ireland have been approved to hold a bookmakers licence.
Dominic has been responsible for all areas of Legal Risk whether Corporate/M&A, Litigation, Insolvency, Documentation/Contracts, IP/IT, HR, Dealing/Trading and Operational Risk including Reputational Risk.
He also have experience of addressing Regulatory issues either prior to, or in conjunction with, Regulator’s interest. He has obtained licences for financial institutions (in various EU and non-EU jurisdictions), incorporated foreign branches, expanded UK permissions and created/implemented compliance policies and procedures as well as related strategies.
He has been on the Board of a South American Bank and have been a director of a variety of companies including UCITS and Non-UCITS Funds in a number of jurisdictions.
Phone: + 44 (0) 207 558 8163