Richard Ellis, Senior Associate
Richard Ellis advises financial services firms on regulatory matters.
Richard 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.
Having previously worked for a Lloyd’s of London insurer, Richard is also part of the firm’s insurance practice. He advises insurers and insurance brokers on various regulatory matters.
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.
FCA two year supervision strategy
In April 2019, the FCA sent a Dear CEO Letter to wholesale market broking firms, committing to taking a “tough stance”...
Brexit and Financial Services – After the Transition Period
What will happen after the transition period?