Dave Nolan

Dave is Counsel within Ogier's Irish Legal Regulatory Services team, which encompasses risk management, crisis management, investigations and enforcement.

He is a highly experienced financial services regulatory professional with a strong record in Irish and European regulatory law, specialising in advising clients on strategic regulatory licencing, compliance frameworks, regulatory enforcement, preparation for inspections and analysing legal and regulatory requirements across a range of regulated sectors from asset managers and investment firms to credit institutions, payment institutions and virtual / crypto asset service providers.

Dave's experience in both practice and industry provides clients with access to a professional with an understanding of the legal, regulatory and operational issues they must deal with, proving to be quite invaluable in many complex regulatory transactions, restructuring of licenses and implementation projects.

He has extensive experience of working with competent authorities and navigating complex frameworks under EU and Irish law, delivering innovative solutions to high profile clients. He is renowned for providing clear, practical advice and leading cross-border regulatory matters.

Background and experience

Since 1999, Dave has held senior leadership roles in legal firms and the asset management industry.

He is a Fellow of the International Compliance Association (FICA) and is currently a technical reviewer for ACAMS AML General Awareness Certificate.

Dave was previously a Board Member of ACAMS Irish Chapter and has authored the final module of the Institute of Bankers Professional Diploma in Compliance.

He graduated with an honour's degree in Irish Law (Nottingham Trent University), has an advanced diploma in white collar, corporate and regulatory crime (The Honorable Society of King's Inns) and a professional certificate in compliance (University College Dublin).

Dave has spoken at conferences on a number of regulatory, anti-money laundering and financial crime topics and regularly authors articles on such topics including corporate governance, whistleblowing, cyber security and risk & compliance management.

Some notable transactions and projects Dave has worked on, include:

• Designing a RegTech SaaS compliance monitoring programme and centralised repository

• Remedying $175m investor redemption threat for an asset manager, following AML process change at the fund administrator

• Assessment and strategic restructuring advice of key distribution team for a leading third-party management company

• Advising clients on licensing requirements and managing subsequent authorisation applications and licence extensions

•  Investigatory regulatory due diligence for an acquirer, uncovering extensive corporate governance and regulatory deficiencies

• Assisting a Fortune 500/Nasdaq listed asset manager on establishing a regulatory innovation team

• Advising on and managing change of control applications with respective competent authority

• Advising and preparing clients for thematic and general regulatory inspections

• Acting as MLRO to investment funds, SPVs, UCITS and AIF management companies