Richard Ellis, Senior Associate
Richard Ellis advises financial services firms on regulatory matters.
AboutRichard is a Senior Associate in the firm’s Broking, Trading and Markets practice. He advises on the nature and scope of UK financial services regulation. He also regularly assists clients in the FCA authorisation process.
Richard’s clients include exchanges, multilateral trading facilities, organised trading facilities, broker crossing networks, investment banks, brokers, dealers, proprietary trading firms and investment managers.
Richard is also involved the firm's FinTech practice and has a particular interest in crowdfunding.
Richard Ellis is admitted to practice in England & Wales
- Assisting various firms on the FCA authorisation process in respect of their trading platforms.
- Advising various firms on MiFID II notification requirements.
- Advising various firms on the scope of FSMA-regulated activities regarding arranging deals in investments.
News & Insights
FCA clarify regulatory position on cryptoassets in new guidance
The Financial Conduct Authority has now published its finalised Guidance on Cryptoassets PS19/22.
Wholesale broking firms under the regulatory spotlight: PFOF update
Brokers can expect to see a considerable increase both in regulatory activity and in enforcement action.