Griffith, John P.

James Greig is a partner in the Financial Institutions and Securities Departments at WilmerHale. He provides a combination of advice and transactional assistance to clients in or entering the retail and wholesale financial services marketplace, including banks, securities houses, insurance companies and brokers, and others dealing with the financial sector. He joined the firm in 2002.

Practice

Mr. Greig divides his time between the firm's New York and London offices. His regulatory practice covers compliance and risk management issues, securities, insurance law, the Financial Services and Markets Act 2000, FSA and related European Union Regulation. He advises on conduct of business, market abuse, research, trading systems and controls and the general range of compliance issues. He also particularly advises on the interface between US broker dealer regulation and UK and EU securities regulation.

On the transactional side, he covers mergers, acquisitions, joint ventures and outsourcing arrangements between financial and non-financial services groups.

Mr. Greig completed his training at the Bar and then joined Linklaters in its financial services regulatory and M&A group. He was subsequently a founder member of Garrets, the London branch of Andersen Legal, where he remained until joining WilmerHale. There, he headed the non-contentious financial services practice and was responsible for delivering integrated legal, tax and risk management counsel to Andersen Legal's European financial services clients.

Recent Highlights

Managing a top-to-bottom review of the systems and controls operated internationally by a major broker-dealer in its clearing operations, including rewriting their policies and procedures, advising US-based hedge fund clients on the FSA requirements affecting their establishment and marketing into the UK, advising a US fund in connection with an FSA market investigation, advising US and UK affiliates on detailed policies and procedures for their mutual proprietary and client trading in equity and fixed income securities and advising on the implications of the EU Mifid and CRD regimes for US-based broker dealer and investment management clients.

Professional Activities

Mr. Greig is a member of the Bond Market Association's Fixed Income Research Committee, the Futures and Options Association's legal issues subcommittee, the British Insurance Law Association and the International Chamber of Commerce Insurance Subcommittee. He is also a sometime member of the Center for European Policy Studies Working Group on Corporate Governance.

*Admitted in England and Wales, not admitted to practice in New York.