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Richard Ellis, Senior Associate

Richard Ellis advises financial services firms on regulatory matters.

Summary

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.

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 highlights

  • 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.
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