• Law Society of Ireland
  • Franciscan College Gormanston
  • Trinity College Dublin (LLB)
  • Law Society of Ireland
  • Irish Management Institute (Diploma in Regulatory Management)

Philip Lee’s Financial Services and Investment Funds team is led by Daniel Lawlor. 

Daniel has more than 20 years’ experience in financial services regulation and compliance.  That experience has been gained both in private practice and as a securities regulator in the Central Bank of Ireland where he was Head of the Funds Policy Team.

Within the investment funds industry, Daniel has assisted clients with both retail investor and professional/qualifying investor fund products, including Exchange-Traded Funds.  Within financial services more broadly, Daniel has worked with fund service providers, investment firms, payment services firms, digital asset/crypto asset firms and EIIS managers.

As a securities regulatory, Daniel was involved in designing and drafting investment fund industry regulatory initiatives in Ireland from 2010 to 2017.  This work included being the Central Bank’s project lead on CP86 – Fund Management Company Effectiveness.  Daniel also has experience of the broader international investment fund industry having represented the Central Bank at IOSCO and ESMA committee level.

This experience means that Daniel is able to guide clients with expert legal advice allied to insights from both an industry standpoint and a securities regulator’s perspective.  

Recent Work

  • Extension of authorisation for a MiFID investment firm.
  • Authorisation of a new EIIS manager under the Investment Intermediaries Act 1995.
  • Independent review of board governance framework for a payment services firm.
  • Regulatory perimeter review for a firm offering algorithmically generated trading signals.
  • Regulatory perimeter review for an angel investor network.
  • Legal analysis for a firm trading physically settled commodity derivatives on own account.
  • Preparation and delivery of a bespoke training programme for the Designated Persons and support staff of an Irish authorised fund management company.
  • Ongoing regulatory and compliance support for an Irish authorised MiFID investment firm.
  • Preparation and delivery of a bespoke preparatory training programme to assist Designated Persons at an Irish authorised fund management company with preparing for supervisory engagements with the Central Bank.
  • Independent review of the EMIR Reporting Oversight Framework established and implemented by an Irish authorised fund management company.
     

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