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David Nolan

Maples and Calder 都柏林
work 75 St. Stephen's Green Dublin 2 Ireland
Director and Head of Compliance / Financial Services Regulatory - Europe
都柏林辦事處
work, pref+353 1 619 2056
cell+353 86 774 9699

專長領域

David is the Director of Financial Services Regulatory in Maples’ Dublin office.  He has over 15 years' experience in financial services and regulatory compliance advising clients on such matters as strategic regulatory structuring, ensuring effective and robust systems and controls, corporate governance, the Client Asset Requirements, fitness and probity, anti-money laundering/counter terrorist financing, data protection, consumer protection and passporting.  David is also a member of the Financial Services Regulatory Enforcement Group and has experience in the area of administrative sanctions procedures, regulatory  inspections, extension of regulatory licences, appointments of tied agents and advising clients in respect of complaints handling and defending clients to the Central Bank of Ireland and the Financial Services Ombudsman.  Recently, David has designed an automated compliance monitoring programme aimed at assisting clients ensure they have effective and robust systems and controls environments in place.

專業背景

David joined Maples and Calder in 2012 from a NYSE listed broker dealer and the operator of Ireland’s first dark pool multilateral trading facility, where he was the EMEA Head of Compliance and MLRO.  Previously, David worked for a large Irish financial services law firm and prior to that as a compliance officer and assistant company secretary with Ireland’s longest established stockbroking firm.  David is also a Professional Member of the International Compliance Association (MICA) and frequently speaks at legal regulatory compliance conferences.

教育背景

The Honorable Society of King's Inns, Advanced Diploma in Corporate, White- Collar and Regulatory Crime, 2014
Institute of Bankers/University College Dublin, Professional Certificate in Compliance, 2010
Nottingham Trent University, LLP in Irish Law, 2004

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