Tony Katz

Tony Katz is Head of Financial Services and Investigations at DLA Piper and he focuses on regulatory work (both advisory and contentious) for financial institutions and global investigations. He advises leading financial institutions, banks, funds, brokers, trading firms, payment services and other financial services firms on a range of advisory and contentious issues. Tony has deep experience in contentious matters, including regulatory and exchange investigations in the UK, EU, the US and Asia. He also has extensive experience in conducting cross-border internal investigations and advises specifically on the UK Bribery Act including advising on Section 7, Adequate procedures' defence and drafting adequate procedures for clients. Prior to joining DLA Piper in 2014, Tony was partner at Orrick, Herrington and Sutcliffe; in the Financial Institution Regulatory practice, and a member of the European Litigation Group. He was also Group Head of Compliance at the Liquid Capital Group, the global options market making firm. He began his legal career in South Africa at Edward Nathan Sonnenbergs and then practiced in London with Slaughter and May for six years. He served for four years at the Financial Services Authority, the regulator of the financial services industry in the United Kingdom, as a Manager in the Retail Policy and Conduct Risk Division.

Contributed to

3

MiFID II—commodities exemptions
Practice Note

The scope of the recast Markets in Financial Instruments Directive (Directive 2014/65/EU) (MiFID II), which came into effect on 3 January 2018, includes a range of commodities firms that were excluded from the original Markets in Financial Instruments Directive (Directive 2004/39/EC) (MiFID I). Commodities firms face a tougher task if they wish to avoid being regulated under the MiFID II regime. This Practice Note focuses on the commodities exemptions in MiFID II, in particular the revised ‘ancillary activity’ exemption in Article 2(1)(j), as further detailed in regulatory technical standards.

Overview of UK implementation of the Consumer Credit Directive
Practice Note

This Practice Note provides an overview of the implementation of the Consumer Credit directive in the UK and will examine the scope of the consumer credit directive; the key changes made by the Consumer Credit Directive and the Financial conduct Authority regime for consumer credit.

Pros and cons of crypto-assets
Practice Note

This Practice Note sets out and explains the pros and cons of crypto-assets, including lower transaction costs and more efficient payments processing.

Practice areas

Qualifications

  • B.Bus.Sc., (Hons), University of Cape Town, Bachelor of Laws, University of Cape Town

Panel

  • Consulting Editorial Board
  • Specialist Panel

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