Nicolas Schmit Email & Phone Number

Paris

Paris Area, France

- Elaboration, negotiation and validation of different agreements linked to the company‘s activities, (ie : Distribution Agreement, Investment Management Agreement, Fund related agreements, Custodian Agreement, Non-Disclosure Agreement, centralizing Correspondent Agreement,…)- Legal Studies and analysis of French and European legislation, regulation and jurisprudence (ie : AIFM, Mifid II, PRIPS,..)- Participation to cross-departments projects- Participation in AFG (the French Asset Management Association ) working groups

Paris Area, France

- Supervision of a team of three legal staff;- Elaboration, negotiation and validation of different agreements linked to the company‘s activities,(ie : distribution agreements ; sub-distribution agreements, Service Level Agreement,);- Providing legal advices to top management and operational teams on business law, financial law, labour law and trademarks; - Supervision of the Compliance Officer, writing and implementation of procedures relating to compliance (KYC, AML, Market Timing and Late Trading, Conflicts of interest); - Representation of the company with different regulatory bodies;- Participation to the international development of the company;- Management of the contacts with external law firms;- Writing and implementation of legal procedures;- Member of Management Committee.

Paris Area, France

- Supervision of two people;- Set-up of several agreements such as Service Level Agreement / Service Level Description/ Custodian Agreements/ Distribution Agreements ;- Set-up of new administrative relationships for mandates or UCITS in France and abroad;- Implementation of information networks between Clients, Custodian, Asset Management Company within the framework of new mandates or takeover of new UCITS;- Execute the coordination as project manager between external and internal participants in case of takeover and/or setting up of new mandates or UCITS.

- Set-up of trading documentation : Master Agreements regarding Repo, Securities lending, OTC (ISDA, FBF) and all other market agreements;- Registration of Groupama's UCITS abroad and participation to develop the Company by creation of new entities in European Union and Luxembourg funds ;- Set-up of mandates and agreements in liaise with international development of the Company;- Set-up and following of the specific AMF (French Financial Market Authority) programs;- Management of the legal aspects for a UCITS portfolio (creation and modifications) ;- Legal Studies regarding financial market law and rules regarding UCITS; - Management of litigations.

Paris Area, France

- Elaboration of the risk analysis plans by activity and by entities;- Audit of FIMAT entities in Europe and Asia : Process control regarding “Front, Middle and Back Offices”, as well as Risk Department, Finance, Compliance and Legal on intermediary activities and proprietary activities on interest rate derivatives products, equities, foreign exchange, commodities and their underlying instruments;- Presentation to the Top Management of the main audit points; - Drafting of the audit reports;- Advising the operational implementation of the audit recommendations; All interviews and reports were executed in English.

Paris Area, France

- Supervision of a team of two legal staff;- Representing the FIB Head Office and its French subsidiary Fimat SNC with French regulatory bodies;- Co-ordination of work conducted by the FIB Head Office’s external legal counsel on matters related to the FIB Head Office and Fimat SNC’s own operations;- Providing general legal advice to operating areas as well as specific advice on products, services and certain legal actions; Conducting legal research directly or through staff;- Providing legal input during FIB Head Office acquisitions;- Advising on, drafting of documentation and structuring of transactions in relation to exchange traded and OTC products for Fimat Europe;- Supervision and co-ordination during activity involving litigation ;- Promoting legal awareness among management;

Paris Area, France

In the department responsible for legal and regulatory affairs- Adaptation and creation of regulations governing the activities of MATIF, MONEP and BOURSE DE PARIS to ensure compliance with the Financial Activity Modernisation Act 1996, - Adaptation of clearing and trading rules and instructions for CLEARNET activities and MATIF,MONEP activities;- Adaptation of market rules and regulations involving electronic order routing and international agreements;- Advising clearing members and trading members as well as several internal departments ;- Management of litigation linked to the electronic order routing system.

1997 Postgraduate Diploma In Commercial Law (Dea), Majoring In Banking And Financial Law, Law

Upper second class honours Thesis: Financial instruments and investment services from the financial activity modernization Act n°96-597.

Graduated In Finance And Marketing

Upper second class honours