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