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Tim Dolan advises clients on UK and European financial services matters, utilising his background of working for international financial services regulators. He focuses on whether institutions and fund structures are subject to UK and European regulation and on advising on the interpretation of the Financial Conduct Authority’s and the Prudential Regulatory Authority’s rule books. He supports firms and individuals when they need to engage with financial services regulators (including with breach; change of control and waiver notifications as well as authorisations) and helps clients (typically fund managers; investment firms; banks; and payment firms) prepare for regulatory change. Increasingly Tim is also advising fund managers and institutions on the impact of ESG regulation.

The Legal 500 UK’s 2023 edition includes client feedback that ‘Tim Dolan is an excellent communicator and delivers quality work quickly, very helpful and responsive’. The 2022 edition recommends him as ‘excellent. Very client oriented and pragmatic. Extensive knowledge and experience and able to help navigate complexities of FCA regulation’. Clients of Tim’s in the 2021 edition stated: ‘Tim Dolan is a very experienced and accessible regulatory lawyer’ and: ‘Very approachable, available and knowledgeable, with experience of many matters’.

Concentrations

  • Advising on the scope of the UK and European financial services regulation
  • Supporting firms when interacting with UK financial services regulators
  • Funds regulation including AIFMD requirements and marketing requirements
  • MiFID 2 and its impact on investment firms
  • ESG regulation including advising on the European SFDR and the forthcoming UK requirements
  • Insider dealing and market abuse regulation
  • Capital Requirements Directive and Regulation
  • The second Electronic Money Directive
  • Payment Services Directive 2
  • Anti-money laundering requirements

Capabilities

Experience

  • Advising on regulatory requirements under the new Sustainable Finance Disclosure Regulation for an article 9 fund and supporting multiple funds marketed into Europe under article 8 of the SFDR.°
  • Issuing opinions as to whether joint ventures and funds amount to collective investment schemes and alternative investment funds.°
  • Advising multiple fund managers as to how they should market in the UK, Europe, and globally.°
  • Obtaining change of control approvals on multiple corporate transactions for clients.°
  • Conducting vendor and purchaser financial services regulatory due diligence in connection with corporate acquisitions.°
  • Issuing tier 2 opinions for banks and investment firms under the UK’s regulatory capital regime.°
  • Advising institutions on the impact of the FCA’s Senior Managers Regime and helping prepare statements of responsibilities for individuals.°
  • Assisting institutions to understand the impact of the FCA’s consumer duty.°
  • Acting as an FCA Skilled Person in relation to a governance issue.°
  • Supporting several institutions who have been subject to FCA Skilled Persons’ reports.°
  • Advising institutions on when information is inside information under the Market Abuse Regime and helping to structure robust Chinese Wall arrangements.°
  • Supporting a credit card scheme which was designated as being systemically important under the Banking Act 2009 and subject to Bank of England oversight.°
  • Advising several global firms as to when they are conducting insurance mediation in the UK and in Europe and what structures they need to put in place.°
  • Advising several payment services providers on their internal systems and controls.°
  • Advising numerous institutions on anti-money laundering and sanctions requirements in the UK.°

°The above representations were handled by Mr. Dolan prior to his joining Greenberg Traurig, LLP.

  • Advanced Associate, UK Financial Services Authority, 2003-2005
  • Secretary to the Panel, New Zealand Takeovers Panel, 2002-2003
  • Solicitor, New Zealand Securities Commission, 1999-2003

Recognition & Leadership

  • Listed, The Legal 500 UK
    • Real Estate Funds, 2024
    • Financial Services: Contentious, 2024
    • Financial Services: Non-Contentious/Regulatory, 2008-2023
  • The Haberdashers’ Company, (Member Court of Assistants) 2021-Present
  • Governor and Chair of the Girls’ School Advisory Group, Haberdashers’ Aske’s Elstree Schools, 2016-Present

Credentials

Education
  • LL.B., University of Canterbury, New Zealand
  • B.A., University of Canterbury, New Zealand
Admissions
  • England and Wales