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Neil Millar

Associate
About

Neil Millar is a London-based Associate in the Financial Services Regulatory team at DLA Piper UK LLP.

He advises on a broad range of UK and EU regulatory matters, including issues relating to the UK Financial Services and Markets Act 2000, EMIR, MiFID II, AIFMD, and PSD 2.

Prior to joining DLA Piper, Neil was an Assistant Vice President in Compliance at Barclays Investment Bank covering the emerging markets and FX desks.

Professional QualificationsSolicitor of the Senior Courts of England and Wales

EXPERIENCE

  • Advising a large Indian bank on its proposed private banking and solicitation model in the UK. 
  • Advising a number of payment service providers on their regulatory obligations under the second Payment Services Directive. 
  • Coordinating and project managing branch openings, closures and asset transfers for a major UK clearing bank as part of its Brexit contingency planning and business strategy. 
  • Advising a number of clients in financial services on the UK change in control regime and completing all associated regulatory filings. 
  • Advising a range of clients on the UK Senior Managers and Certification Regimes, including how the Regime will apply across the financial services industry. 
  • Assisting clients with submissions and notifications to the FCA required under the European Market Infrastructure Regulation. 
  • Guiding clients on the UK regulatory perimeter and financial promotions regime to ensure that they meet business outcomes and remain fully compliant with regulatory rules and guidance.
Education
  • University of Law, LPC with MSc in Law, Business and Management, (Distinction), 2016
  • University of Law, Graduate Diploma in Law (Distinction), 2015
  • University of Warwick, BSc Economics (2:1), 2011

Awards

CISI Diploma in Investment Compliance

Publications

  • EMIR Refit: How market participants should prepare for the upcoming changes, 24 May 2019 
  • FCA encourages asset managers to transition to alternative risk-free rates, 1 Mar 2019
  • FCA proposes to exclude heads of legal as senior managers under SM&CR, 28 Jan 2019 
  • European Commission "No Deal" Contingency Plan - Financial Services Implications, 20 Dec 2018 
  • EBA Finalises guidelines on the contingency mechanism exemption under PSD2, 13 Dec 2018 
  • Financial Stability Board progress report on reforming major interest rate benchmarks, 28 Nov 2018 
  • FSB welcomes IAIS proposed insurance systemic risk framework, 20 Nov 2018 
  • Briefing notes on the New Payments Architecture and strong customer authentication regulatory technical standards under PSD2 
  • Exchange International: Financial Services Regulation Newsletter (February 2018 and November 2017)

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