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).

    • Advising a technology software company on the onboarding requirements of banks for the purposes of designing a software product for use by banks.
    • Advising robo advisers and a challenger bank on their regulatory responsibilities and ongoing compliance.
    • Advising fintech companies on whitelabelling transactions.
    • Advising a number of ‘FinTech’ start-up companies on various regulatory matters, including the payment services and e-money regulations.
    • Advising a bank on custody and client money requirements and on conflicts and insider dealing issues.
    • Drafting and updating conflicts of interest policies, insider dealing policies, compliance manuals, trading manuals, compliance monitoring programmes and ICAAPs for a number of companies.
    • Assisting on the authorisations of an insurance company, a custodian and a payment services firm, including assisting with the drafting of all supporting documentation and liaising with the FCA.
    • Advising consumer credit lenders on their regulatory responsibilities and assisting with the appointment of appointed representatives to carry on debt collection services.
    • Investigating and reporting upon a suspicious trading incident at a trading house.
    • Assisting in a number of variation of permission applications and change of legal status applications.
    • Advising a company on market abuse issues.
    • Advising a company seeking a waiver from consolidated supervision.
    • Advising numerous companies on the appointed representative regime.
    • Advising on a number of IPOs, asset purchases and sale purchases involving financial services regulated entities.
    • Advising a UK insurance broker on issues relating to selling insurance underwritten by a non-EEA insurance company in the UK.
    • Advising a company selling property interests in the UK, on regulatory and structuring issues.
    • Advising a company setting up a fund platform and advising fund managers wishing to include their funds on fund platforms.
    • Providing strategic advice to an insurer on the regulatory aspects of restructuring and relocating the insurer’s business operations.
    • Assisting in an authorisation for the UK business of a U.S. investment services company under the payment services regime.
    • Coordinating global regulatory reviews/legal inventories for a number of international financial services clients.
    • Advising on the regulatory aspects of a potential investment in a UK financial services and wealth management platform provider.
    • Providing UK regulatory advice to a banking client on shared employees and structuring their international business activities.
    • Advising both Stripe and Goodwater Capital on a $93 million Series D financing round in Monzo.