How do you approach managing legal aspects during periods of instability or crises, and how does your legal strategy align with the broader business strategy to ensure the organisation’s resilience?

During a crisis, my objective is not to eliminate risk entirely. My role is to help the business determine which risks are genuinely material and which are not, quickly enough that a decision can still be made within the required timeframe.

For example, when I developed the AML/CFT risk classification framework for a broker-dealer, I could have flagged every theoretical exposure. However, doing so would have halted onboarding and day-to-day operations entirely. Instead, I built a framework that distinguished genuinely high-risk cases from manageable ones, allowing the business to continue operating efficiently without treating every case as an emergency.

I also aim to be involved before issues arise, rather than after the fact. When negotiating services agreements with financial institutions, the most complex issues are considerably easier to resolve when Legal is involved from the outset, rather than reviewing a structure the business has already committed to.

With respect to alignment with the broader business strategy, I need to understand the commercial objectives the business is pursuing, not only the regulatory requirements that apply. This is what allows me to determine which risks warrant pushback and which do not. During a crisis specifically, this means having clear protocols already established, for instance, who is responsible for which decisions, how they are documented, and who provides sign-off, so that the process is not being improvised while the crisis itself is being managed. This consistency is what allows the company to continue functioning under pressure, rather than defaulting to inaction or hasty decisions.

What are the main cases or transactions you have been involved in recently?

My recent work has spanned technology contracting, complex financial structuring, capital markets documentation, and corporate governance for a broker-dealer and its affiliated advisory entity:

Technology and commercial contracts: Drafted and negotiated SaaS and software licensing agreements for transactions exceeding USD 200,000.

Capital markets and financial structuring: Led the structuring, drafting, and negotiation of complex financial agreements, including ISDA Master Agreements and Master Netting Agreements for transactions exceeding USD 5 million.

Securities offerings: Participated in the design of the issuance prospectus for a broker-dealer, as well as the drafting of related contractual documentation for capital-raising processes.

Corporate governance: Participated in the corporate governance restructuring process, including the review and drafting of related governance documentation.

Cybersecurity and governance: Redesigned the broker-dealer’s cybersecurity and information security policies, aligning them with international standards and strengthening the institution’s overall governance frameworks.