Legal | What We Do

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FinTrU works with clients to put in place documentation to enable them to trade financial products with their counterparties.

We have a proven delivery record across a full range of Legal functions for financial institutions, with the ability to successfully scope and deliver projects regardless of scale.

BAU Legal Drafting and Negotiation
- Drafting, Negotiation and Execution of a Broad Range of Master Agreements including ISDA, CSA, PB, Repo and Clearing Docs
- Drafting Key Supporting Agreements including NDAs, MSAs, Service Level Agreements and Schedules of Work
- Day-to Day Contract Management to Ensure Adherence to Latest Regulations and Client Policies
- Tracking and Reporting of Progress of Negotiations and Execution Stats
- Daily Liaison with Internal Stakeholders and External Clients to Manage Negotiation Life Cycle
- Primary Responsibility for Key Client Asset Manager Relationships via Assigned Coverage
Regulatory Remediation Campaigns
- Large-Scale Regulatory Remediation Projects (Uncleared Margin Rules, MiFID, Brexit, IBOR)
- Data Extraction to Determine the Scope of the Remediation
- Experienced in Replicate and Amend / Clone and Tweak Models
- Knowledge/Know-How Tracking and Training
- Process Mapping, KPIs and Metrics
- Quality Control & Assurance
Netting and Collateral Opinion Reviews
- Netting and Collateral Opinions Review (Industry and Bespoke) to Ensure Basel III Compliance
- Cover a Wide Range of Products (OTC, Repo, Listed, PB)
- Liaison with External Law Firms and Industry Bodies
Data Extraction and Integrity
- Front-to-Back Structured Data Capture of Counterparty Facing Trading Documentation
- Validation, Escalation and Remediation of Breaks between Client Systems
- Quality Assurance on Live Trading Data to Ensure Accurate Reflection of Agreed Contractual Terms
- Review of Diverse Range of Documentation and Provisions to Ensure Compliance with Rules and Regulations
- Creation and Updating of Bespoke and Customisable Reporting Tools to enable Monitoring of Remediation Lifecycle
- Collaboration with Stakeholders to Map Project Processes, Scoping of Clients and Volume

Roli Shaw

Head of Legal

Roli oversees our legal team with focus on successful delivery of legal and documentation services for clients.