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Brie Lam

Regulatory Compliance Consulant
Independent
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23 Mar 2019
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Followed by John Sims, Martha Boyle and 5 others you follow

Bio

Leveraging UK-based legal training and a background in bringing fintech solutions to market, I provide strategy input and curated content to vendors, law firms and legal service providers focused on the changing financial regulatory landscape.

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Regulatory Compliance Consulant
Independent
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Latest opinions

Brie Lam

Brexit and the Buyside: When Your Counterparty Wants to Novate

OTC derivatives market participants are receiving a growing number of requests from their dealers to novate swaps from a one entity to another within the same dealer group. Many of these requests are borne out of regulatory necessity, particularly ring-fencing rules coming into force for large dealers in the UK beginning on 1st January 2019 in co...

08 August 2018 Capital Markets Technology

Brie Lam

To Opt In or Not to Opt In? That’s the Question for Dealers Studying the SI Rules Under MiFID II

When ESMA announced in late 2016 that the quantitative threshold assessment under the MIFID II Systematic Internaliser (SI) regime would commence from 1st September 2018, rather than 3rd January 2018, many in the dealer community breathed a sigh of relief. This was understandable, as it bought time for those dealers likely to be assessed as SIs, b...

29 August 2017 MiFID

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