Anne Mainwaring

  • Associate
  • Eanne.mainwaring@lw.com
  • 99 Bishopsgate
  • London EC2M 3XF
  • United Kingdom
  • T +44.20.7710.1018
  •  
 

Profile

Anne Mainwaring is an associate in the London office of Latham & Watkins and a member of the Financial Institutions Industry Group.

Ms. Mainwaring specializes in financial services regulatory advice and has experience advising a wide range of financial institutions on a variety of legal and regulatory risk management matters, with particular experience in relation to the FCA’s Conduct of Business Rules and European regulatory developments, such as the Packaged Retail & Insurance-based Investment Products (PRIIPs) Key Information Documents (KID) and Markets in Financial Instruments Directive II (MiFID II).

Ms. Mainwaring spent nine months on secondment to the UK Financial Conduct Authority, where she worked on the Markets Policy team in relation to the implementation of MiFID II and the preparations for Brexit, including the onshoring of EU financial services legislation.

Ms. Mainwaring also has particular experience in relation to conduct and cultures, and has spent time on secondment at a global investment bank in relation to their conduct risk project.

 

 

Experience

Ms. Mainwaring’s recent highlights have included advising:

  • A diverse range of financial services clients in relation to their Brexit planning 
  • A number of financial services clients on MiFID II implementation
  • A number of investment bank clients on MiFID II product governance 
  • A global investment management firm in relation to their governance arrangements
  • A number of firms in relation to the UK regulatory perimeter and the scope of their permissions


Thought Leadership

  • Second FCA Consultation on New Prudential Regime for Investment Firms -  April 21, 2021
  • Private Bank Briefing: Issues Impacting the Private Bank Sector -  March 31, 2021
  • FCA Publishes Review of Asset Managers’ Implementation of MiFID II Product Governance Rules -  March 01, 2021
  • 10 Key Focus Areas for UK-Regulated Financial Services Firms in 2021 -  January 11, 2021
  • PRA Publishes Findings on Its Evaluation of the SMCR -  December 18, 2020
  • Private Bank Briefing: Issues Impacting the Private Bank Sector -  December 03, 2020
  • UK Chancellor Outlines Future for Financial Services Post-Brexit -  November 12, 2020
  • ESMA’s STO Guidance Aims to Limit Post-Brexit Disruption -  October 28, 2020
  • HM Treasury Consults on Post-EU Financial Services Regulatory Framework -  October 26, 2020
  • UK Firms Granted Extra 15 Months for Brexit Onshoring Preparations -  October 14, 2020
  • Private Bank Briefing: Issues Impacting the Private Bank Sector -  September 2020
  • The MAR Review — ESMA’s Final Report -  September 24, 2020
  • Sustainable Finance and Climate Change Risk in Financial Services: For Insurers -  September 18, 2020
  • European Commission Proposes Changes to MiFID II Due to COVID-19 -  July 31, 2020
  • Equator Principles Association Issues COVID-19 Guidance for Lenders and Borrowers -  July 02, 2020
  • Private Bank Briefing: Issues Impacting the Private Bank Sector -  July 02, 2020
  • FCA Consults on Post-Brexit Prudential Regime for Investment Firms -  June 24, 2020
  • FCA Fails to Find Its Watersheds Moment in Adams v. Options SIPP UK LLP -  June 18, 2020
  • European Commission Publishes Draft Delegated Regulations on ESG Disclosures in Benchmarks -  May 04, 2020
  • New Draft Regulatory Technical Standards Under the EU Benchmarks Regulation -  March 31, 2020
  • Private Bank Briefing: Issues Impacting the Private Bank Sector  -  March 26, 2020
  • FCA Calls on Firms to Develop a Purposeful Culture -  March 06, 2020
  • MiFID Refit — Commission Consults on Review of MiFID II Framework -  February 27, 2020
  • ESMA Provides Its Input on the BMR Review -  February 20, 2020
  • AMF Proposals to Revive the Research Industry in France -  February 19, 2020
  • Key Takeaways from ESMA’s recent MiFID Transparency Consultation Papers -  February 14, 2020
  • Third-Country Firms Operating Cross-Border Into the EU — Upcoming Reform -  January 14, 2020
  • Brexit: 10 Commonly Asked Questions -  January 07, 2020
  • FCA Consults on SMCR for Benchmark Administrators -  December 03, 2019
  • Private Bank Briefing: Issues Impacting the Private Bank Sector  -  December 02, 2019
  • ESAs Consult on Amendments to the PRIIPs KID -  November 25, 2019
  • FCA Warns Firms of Conduct Risk During LIBOR Transition -  November 22, 2019
  • PRIIPs and Corporate Bonds — Clarity at Last? -  October 31, 2019
  • Review of the EU Benchmarks Regulation -  October 17, 2019
  • ESMA’s Consultation Paper on the MAR Review -  October 11, 2019
  • Research Unbundling — FCA Finds Rules Working Well -  September 23, 2019
  • Key Emerging Regulatory Issues and Focus Areas for Institutional Asset Managers -  September 19, 2019
  • FCA Confirms SMCR Optimisations -  July 26, 2019
  • 10 Key Regulatory Focus Areas for UK/European Wholesale Markets in 2019 – Progress Report -  July 02, 2019
  • EU Kicks Off MAR Review -  May 16, 2019
  • FCA Fires Warning Shot to Brokers in Wholesale Markets -  April 30, 2019
  • MiFID II Costs and Charges — Room for Improvement -  March 01, 2019
  • Brexit and Financial Services — FCA Issues Further Guidance for Firms -  February 01, 2019
  • Regulating Crypto-assets and ICOs? ESMA and EBA Consider the Benefits -  January 24, 2019
  • FCA Consults on Further Amendments to the SMCR -  January 23, 2019
  • Brexit and Financial Services — UK Equivalence Decisions -  January 21, 2019
  • European Commission Report on the Operation of the AIFMD -  January 15, 2019
  • Brexit and Financial Services — Temporary Permissions -  December 18, 2018
  • FCA Finalises Changes to its Financial Crime Guide -  December 14, 2018
  • FCA to Clarify Scope of the Client Dealing Function -  November 30, 2018
  • Brexit and Financial Services — Onshoring MiFID II -  November 05, 2018
  • UK Cryptoassets Taskforce Publishes its Final Report -  October 31, 2018
  • A New Sheriff in Town? UK MPs Call for Regulation of “Wild West” Crypto-assets  -  September 20, 2018
  • First Details of Brexit Temporary Permissions Regime Published — Key Questions Answered -  July 27, 2018
  • Transforming Culture in Financial Services — The FCA Renews Its Approach -  March 16, 2018
  • The (Potentially) Long Arm of the SMCR -  August 24, 2017
  • MiFID II – Second Policy Statement and Further Consultation -  July 05, 2017
  • ESMA Final Report on MiFID II Product Governance Requirements -  June 05, 2017
  • Banking on IT -  May 26, 2017
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Bar Qualification
  • England and Wales (Solicitor)
Education
  • Legal Practice Course, College of Law, 2009
  • LL.B. (First Class Honors), University of Exeter, 2008
Industries
  • Financial Institutions
Practices
  • Capital Markets
  • Financial Regulatory