Dan Weiner is a UK-qualified financial services regulatory lawyer based in Washington, D.C. Dan provides regulatory advice across the broad spectrum of the financial services regulated community.
Dan advises asset managers, brokers, banks, fund managers, fund platforms, payment service providers, e-money issuers, FinTech companies, exchanges and corporate finance boutiques. Now based in the United States, Dan is particularly focused on assisting U.S. companies with licensing and other regulatory issues when they seek to carry on regulated business in the UK and across Europe.
Dan provides regulatory advice to both the buy side and sell side and covers both retail and wholesale business. Typical work includes advising on issues relating to authorisation, structuring, outsourcing, systems and controls, conduct of business, financial resources, market abuse, EU directives, promotion and distribution of investments, money laundering, payment services and consumer credit. Typical work also includes providing specialist regulatory advice on transactions within the financial services sector. Dan has experience in the Fintech space, with clients ranging from peer to peer lending platforms, challenger banks, app payment providers, robo advisers and on-line broker dealers.
Dan has spent time on secondment to the Bank of England's legal unit, where he advised in relation to post-financial crisis measures including the Asset Purchase Facility (quantitative easing) and the Discount Window Facility (emergency funding for banks).