Norton Rose Fulbright LLP
Related services and key industries
Key industry sectors
Weronika Sowa is an associate in our financial services regulatory team. Prior to qualifying, she worked as an advisor in our financial services compliance regulatory consulting team.
Weronika has experience of FCA AML registrations, authorizations, variations of permission applications for various firms across the financial services sector. She has produced and updated numerous compliance policies and procedures and other compliance documentation, particularly in relation to financial crime, specifically, anti-money laundering, anti-bribery and corruption, and sanctions (AML, ABC and sanctions), but also market abuse, for a wide range of firms, including regulated and unregulated businesses, such as investment firms, commodity traders, market makers as well as cryptoassets businesses.
Weronika's experience also includes carrying out compliance monitoring, running board meetings, delivering compliance and financial crime-focused training for wide-ranging firms, and regulatory investigations. As part of her legal training, she also spent six months on secondment to a major US clearing member, where she was involved in negotiating OTC clearing agreements and dealing with EMIR/clearing-related queries.
Before joining the firm, Weronika worked for nearly three years for a major AML/ABC and sanctions industry association, where she advised mainly financial services institutions, but also other sectors, on the latest legal and regulatory developments and best practice in AML, ABC and sanctions.
She is an Associate Member of the International Compliance Association.
- Solicitor of the Senior Courts of England and Wales 2018
- A major cryptoasset business on its FCA AML registration and answering ongoing MLRs-related queries.
- On the negotiation of multiple OTC Client Clearing Agreements for a major clearing broker.
- A s.166 Skilled Person Review.
- A market abuse investigation.
- A peer-to-peer lending platform on its authorization application.
- A commodity trader on FCA market abuse systems and controls request for information response.
- On a review of AML, CTF, ABC and sanctions systems and controls of a major multilateral trading facility.
- On ongoing compliance monitoring for various financial services firms.
- Senior Managers and Certification Regime, compliance and financial crime-focused (AML/ABC and sanctions) training.
- Assistance on authorization applications for investment firms with international operations.
Publication | February 15, 2021
Publication | February 02, 2021
Publication | September 30, 2020