Patrick James Email & Phone Number

Sydney, Nsw, Au

Sydney, New South Wales, Australia

Sydney, Australia

From 2013 to 2016, Legal and compliance coverage for the Credit Suisse Private Bank, Asset Management and Equity Derivatives.- Since 2016, Head of Compliance for the CS Private Bank in Australia- Acting Head of Legal & Compliance for CS Asset Management APAC responsible for a team of 6 lawyers and compliance officers in Australia, Hong Kong, Singapore and Japan- Head of Compliance for CS Private Bank in Developed and Emerging Asia (Australia, Japan and India) responsible for oversight of 6 compliance officers across APAC [ceased 2018]-ensuring compliance with Australian legal and regulatory obligations applicable to an ADI, an AFSL holder and an ACL holder- review and approval of marketing collateral- monitoring and surveillance activities as required to deliver second line of defence controls- risk assessment and control testing- advising in relation to regulatory change within Australia and offshore as applicable in Australia- running legal, regulatory and policy related internal training- interaction with key regulators (ASIC and APRA)

Legal structuring and business support for third party alternatives / funds distribution

Sydney

Legal structuring - structured retail products and equity derivatives

Sydney, Australia

Senior Associate in the Financial Institutions and Markets team advising a range of corporate, commercial and banking clients in respect of:- establishment and operation of structured retails funds and product- review of PDS and participation in due diligence committee to approve PDS issuance- acquisition and disposal of funds and fund management entities- compliance with Australian legal and regulatory obligations - equity derivatives and structured retail products- distribution agreements- corporate governance and general commercial contract negotiation

Virgin Islands (British)

Senior Associate in the Investment Funds and Regulatory Team advising in relation to all aspects of:- establishment and registration of hedge funds and private equity funds with the Financial Services Commission of the British Virgin Islands- review and preparation of fund documentation including offering memorandum and constitutional documentation- general legal and regulatory advice in respect of of hedge funds, managers and administrators - corporate governance

London, United Kingdom

Solicitor in the Corporate Finance team advising corporate clients in relation to:- debt and equity fundraising, IPO listing in the London Stock Exchange and the Alternative Investment Market- negotiated mergers and acquisitions - general corporate governance- negotiation of commercial contracts and arrangements

Common Professional Examination And Legal Practice Course, Law

Master Of Electronic Systems Engineering

Education record