Richard Ellis, Senior Associate
Richard Ellis advises financial services firms on regulatory matters.
Contact Richard
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+44 (0)20 7438 2225
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Email Richard
Email: richard.ellis@crsblaw.com
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- London office
About
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
Experience
- 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.
Our thinking
Richard Ellis
How does the FCA Cryptoasset AML/CTF Regime affect UK cryptoasset businesses?
With the notable exception of security tokens, the majority of cryptoassets remain unregulated in the United Kingdom.
William Garner
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”...
Richard Ellis
Top 10 FinTech Predictions for 2020
Following increasing in regulation in the FinTech space we expect this to be a continuing trend for 2020.
William Garner
Brexit and Financial Services – After the Transition Period
What will happen after the transition period?
William Garner
SMCR – Briefing Note for Broking and Trading Firms
All broking and trading firms which are regulated by the FCA will become subject to the SMCR on 9 December 2019.
William Garner
FCA clarify regulatory position on cryptoassets in new guidance
The Financial Conduct Authority has now published its finalised Guidance on Cryptoassets PS19/22.
William Garner
Charles Russell Speechlys advises Coinbase on debit card venture
Charles Russell Speechlys are delighted to have advised new client, Coinbase, on their exciting foray into a debit card offering.
Richard Ellis
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.