Norton Rose Fulbright LLP
Related services and key industries
Victoria is an executive within the Regulatory Compliance Consulting team. She assists clients with the development of their compliance programs, with particular focus on advising on and supporting the development of policies, procedures and on-going monitoring frameworks.
Recent relevant assignments have included supporting investment firms review and enhance their arrangements in relation to the changes to the Market Abuse Regulations, the Money Laundering Regulations and advising clients on their implementation of MiFID II legislation. Victoria routinely works with investment banks, brokers, exchanges and clearing businesses. Additionally, Victoria assists firms obtain regulatory authorisation and vary their regulatory permissions
- 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.
Podcast | August 22, 2022
Publication | May 03, 2022
Publication | February 21, 2022