Puesan Lam#2572

Puesan Lam

Solicitor, DLA Piper

Puesan advises clients on a wide range of regulatory and compliance matters, including: authorisation and perimeter issues; prudential and conduct of business requirements, regulatory filings, regulatory investigations, insider dealing and market manipulation issues and EU regulatory matters, such as MiFID II, EMIR, AIFMD and PSD.

Her experience includes

-Advising on regulatory issues arising from cross-border corporate transactions -Advising a high-frequency prop trader on the revised scope of MiFID and implications for the its business -Advising former OFT licensed firms on the new FCA consumer credit regime -Advising an outsourced business provider in relation to its provision of outsourcing services to UK retail banks -Advising asset managers on compliance issues, including outsourcing, conflicts of interest and remuneration matters -Advising non-EU entities on their obligations under EMIR -Advising non-EU asset managers on marketing issues and remuneration disclosures under AIFMD.

Lexis PSL Financial Services

About Lexis PSL

Contributed to

1

Cryptoassets from a consumer protection perspective
Cryptoassets from a consumer protection perspective
Practice notes

This Practice Note provides an overview of the key risks for consumers from cryptoassets, the current protections available and potential improvements that can be made to the regulatory regime.

Practice Area

Panels

  • Consulting Editorial Board
  • Contributing Author

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