OVERVIEW
Alison is a Senior Regulatory Executive in the Irish Financial Services Regulatory team at Maples and Calder, the Maples Group's law firm. Alison has over 8 years' experience as a compliance and regulatory professional within the financial services industry. Alison's particular focus is the provision of technical expertise, assisting clients across all industry sectors including AIFMs and UCITS management companies, MiFID investment firms and fund service providers, banks, insurers, e-money and payment firms, and credit servicing and retail credit firms.
Alison has a strong practical knowledge of regulation and guidance across a number of core areas, including corporate governance, anti-money laundering, data protection, culture and fitness and probity, cyber security, MiFID, UCITS, AIFMD and KIIDs. Alison also advises on authorisations, top-up permissions and change of control notifications for regulated firms.
Alison supports clients in dealing with the regulator, advising on day-to-day compliance queries, drafting and implementing robust compliance frameworks and providing training sessions on key themes to boards and senior management. She also works with the broader team to manage upstream regulation and publish client updates on key regulatory changes.
BACKGROUND
Alison joined the Financial Services Regulatory team at the Maples Group in November 2017 having previously worked at Euronext Dublin (formerly the Irish Stock Exchange) and a Dublin-based asset management firm. Alison is recommended by IFLR1000 where clients attest to "an understanding of our business and needs, ability to provide solutions that will work for our business".
PROFESSIONAL ACTIVITIES
Alison is a member of the Association of Compliance Officers of Ireland, Irish Funds and the Institute of Banking. She is also a member of the Alternative Investment Management Association's Digital Assets Working Group.
AREAS OF EXPERTISE
EDUCATION
Law Society of Ireland, Diploma in Finance Law, 2017
International Capital Markets Association, Certificate in Introduction to Primary Markets, 2016
Law Society of Ireland, Diploma in Investment Funds and Compliance, 2015
ACOI, Professional Diploma in Compliance, 2013
UCD, Bachelor of Commerce (BComm), 2010
GET IN TOUCH
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KNOWLEDGE
- Irish FinTech Regulation Focus - Six Key Areas 04 July 2022
- MiFID Sustainability Preferences Putting ESG at the Centre of the Sales Process 30 June 2022
- Widening the Net of Regulation of Retail Credit Firms in Ireland 15 June 2022
- New EU Ban on Selling Investment Funds to Russian or Belarusian Persons 27 April 2022
- Establishing a Regulated Fintech Firm in Ireland 21 April 2022
- Updated Central Bank of Ireland PCF List - Required Actions and Filings 20 April 2022
- Fitness and Probity Notice: Bringing New Retail Credit Providers in Scope 06 April 2022
- Irish and EU Regulators Warn Retail Investors of Risks of Investing in Cryptoassets 28 March 2022
- Introducing the New Irish Regulatory Regime for Crowdfunding 17 January 2022
- CP138: Central Bank of Ireland Publishes Cross-Industry Outsourcing Guidance 22 December 2021
NEWS & DEALS
- Maples Group Supports Hong Kong Unicorn on HK$670 Million IPO 05 July 2022
- Maples Group Partners Win at European Women in Business Law Awards 2022 27 June 2022
- Maples Advises SCC Power on Acquisition of Stoneway's Business Enterprise 23 June 2022
- Maples Group Represents Clearlake on Significant Transactions 16 June 2022
- Maples Group Wins Three Awards at China Business Law Awards 2022 15 June 2022