SERVICES
Fractional General Counsel for Fintech and Financial Services
Outside general counsel for financial technology, trading and financial services companies that need legal and compliance judgment from someone who has worked inside regulated firms.
Legal and compliance coverage for regulated businesses
Financial services companies face questions that general business counsel rarely sees: registration and licensing, AML and KYC controls, counterparty documentation, governance expectations and regulator scrutiny.
Edward Liva has 20 years of experience across law, compliance, risk management and business operations. He has served in general counsel and senior management roles at smaller financial services and technology companies, and advised institutional trading venues, algorithmic trading businesses and financial technology companies.
At Barclays, he held senior roles in wholesale client onboarding, financial crimes policies and procedures, and operational risk reporting and governance. He also helped establish and operate financial services businesses regulated in the United States, the United Kingdom and the Netherlands, which brings direct experience with cross-border regulatory frameworks.
That background covers compliance program design, AML and KYC, financial crimes controls, operational risk, regulatory licensing, governance, and the development of policies and procedures that match how a business actually operates.
Services may be provided on an hourly, project-based, or ongoing fractional general counsel basis, depending on the company's needs.
CAPABILITIES
What This Covers
Customer, vendor, technology, licensing and trading agreements
Compliance program design, testing and maintenance
AML, KYC and client onboarding policies and procedures
Financial crimes controls and operational risk governance
Regulatory registrations and licenses
Board, committee and management governance
Coordination with regulators, auditors, outside counsel and other advisers
Oversight of disputes and litigation with outside counsel
Built for regulated firms
Policies, controls and contracts that reflect regulator expectations without importing the overhead of a global bank into a smaller company.
Cross-border awareness
Practical familiarity with how U.S., U.K. and Dutch regulated businesses are set up and run, useful for companies operating or expanding across jurisdictions.
One point of contact
Legal and compliance questions handled by the same person, so contracts, policies and governance stay consistent.
RELATED
Where This Fits
Fractional General Counsel
Ongoing outside general counsel for growing companies in any industry.
Regulatory Compliance and Licensing
Compliance programs, registrations and regulator coordination.
SaaS and Software Contracts
Subscriptions, licenses, MSAs and statements of work.
About Edward Liva
Background across law, compliance, risk and business operations.
Building or Running a Regulated Business?
We can talk through where legal and compliance support would help most. The first conversation is free.
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