Effie Stathaki

effie.stathaki@lw.com

+44.20.7710.4758

Financial Regulatory

Profile

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

Ms. Stathaki’s practice covers a range of financial services regulatory advice with particular experience submitting authorization applications to the FCA and advising on all aspects of compliance with relevant PRA and FCA rules and regulations, in both a transactional and advisory context. She also advises clients on European regulatory developments including MiFID II, EMIR, REMIT, MAR, and the Benchmarks Regulation.

Ms. Stathaki assists a number of leading global firms with significant multijurisdictional regulatory change projects, including the implementation of MiFID II and Brexit planning, and advises investment and private banks, market infrastructure providers, clearing houses, consumer credit firms, and commodity trading companies.

Prior to joining Latham & Watkins, Ms. Stathaki has been seconded to several financial institutions as well as to a leading derivatives exchange. Ms. Stathaki is also a member of the Chartered Institute of Securities and Investment (MCSI).

Experience

Ms. Stathaki’s experience includes advising:

A DLT-based market operator on the application of the UK regulatory perimeter and subsequent application for FCA authorization
AllianceBernstein, a leading global investment management and research firm, on the formation of its joint venture with Société Générale
An investigation regarding the use of unapproved methods of communication for a global bank
A number of financial services clients in relation to perimeter issues, compliance with the FCA Rules, and implementation of European legislation*
A global brokerage firm on its implementation of the Senior Managers and Certification Regime*
Several US private equity firms on investments in regulated financial institutions*
A number of market infrastructure providers to understand the likely impact of Brexit on their ability to continue to provide services and perform activities in Europe / the UK post-Brexit*
A commodities trading company in relation to its obligations under REMIT and EMIR*
A BNPL credit provider on its application to the FCA for authorization*
A cryptoasset provider on the structuring and regulatory treatment of ICO transactions*

*Matter handled prior to joining Latham

Qualifications

Bar Qualification

England and Wales (Solicitor)
Greece (Dikigoros)

Education

LLM in Corporate and Securities Law, London School of Economics and Political Science
LL.B. (Hons), University of Thrace
Erasmus Programme, University of Barcelona