Norton Rose Fulbright LLP
Related services and key industries
Victoria is a manager within the Regulatory advisory team
Victoria's work predominantly focuses on firms within the wholesale markets sector, and includes advising on a broad range of regulatory compliance issues. Her work has included providing technical advice in respect of implementation, as well as on-going assistance, on the Market Abuse Regulation, Money Laundering Regulations and MiFID II.
Victoria has also assisted a range of firms in seeking authorisation, including a peer to peer lending platform and multiple EEA banking branches as a result of the temporary permissions regime. She provided support on an end to end basis, from preparation of relevant documentation to correspondence and coordination with the relevant regulator. She is currently assisting an MTF operator seek authorisation in the UK.
Additionally Victoria assists firms in implementing compliance frameworks. This support has included policy and procedure drafting, compliance monitoring plan drafting as well as assistance in discharging compliance monitoring reviews. She recently supported an MTF operator in conducting compliance monitoring reviews in respect of on-boarding, market abuse as well as client categorisation.
Victoria assisted in drafting the Futures Industry Association Guidelines on Market Surveillance, and has authored an article for Thomson Reuters on the internal capital and risk assessment process.
- On-going assistance to the UK Branch of a German Bank on areas including filing requirements and money laundering policies and procedures.
- Advising on the UK permissions profile of the UK Branch of an EEA Bank.
- Assisting in authorisations and variations of permissions for a variety of firms including proprietary trades, consumer credit firms and investment advisors.
- Advising a variety of firms on compliance systems and requirements relating to personal account dealing, outsourcing, training and competence, whistleblowing and financial promotions.
Blog | February 02, 2023
Podcast | August 22, 2022
Publication | May 03, 2022