Nicola Higgs is a partner in the London office of Latham & Watkins. Ms. Higgs specializes in financial services regulatory advice and has vast experience advising financial institutions and market infrastructure providers on a wide range of complex domestic and cross-border regulatory issues.
Ms. Higgs advises global investment banks, corporate finance houses, fund managers, insurers, stockbrokers, market infrastructure, and data services providers on a variety of legal and regulatory risk management matters, with particular expertise in the FCA’s Conduct of Business Rules, European regulatory developments, such as MiFID II, PRIIPs KID Regulation, and the EU Benchmark Regulation, and contested enforcement actions.
Ms. Higgs has developed a formidable reputation advising global investment firms on the sale of complex derivative products to professional and retail investors, including cross-border issues.
Ms. Higgs also has a strong track record in advising private banks and wealth managers on their regulatory obligations.
Ms. Higgs’ recent highlights have included:
- Numerous financial services clients (banks, investment firms, and asset managers) in relation to firm-wide MiFID II preparation and implementation projects
- A number of global investment banks and a market data provider on the implementation of the EU Benchmark Regulation, including seeking authorization as a benchmark administrator
- Assisting financial services clients (including investment banks) with critical outsourcing transactions
- A number of global investment banks on the implementation of the PRIIPs KID Regulation*
- A variety of firms on seeking new FCA authorization / changes to permissions*
- A number of global bank structured product providers on the implementation of the UK product governance regime*
- Acting as proxy in-house counsel for the cash equities division of global investment banks*
*Matter handled prior to joining Latham & Watkins