Serge Durox joins Franklin to develop a Legal & Compliance practice in the fields of banking, investment services and insurance. Prior to this, Serge Durox leveraged his extensive experience to found the legal practice of Ernst & Young’s Financial Services Office, where he developed cutting-edge expertise advising financial institutions on legal and compliance issues.
His team advises and represents French and international financial institutions operating in an over-regulated environment.
It provides assistance from the initial corporate structuring of regulated entities (credit institutions, investment service providers, insurance companies, asset managers, etc.), with a key strength in licensing processes and governance frameworks, especially in the context of Brexit.
The team also advises clients throughout their lifecycle, on a wide range of issues such as restructurings, regulatory risk mapping, product launches, distribution materials review and KYC requirements.
Serge Durox’s team brings to bear strong expertise in the development and implementation of compliance remediation and improvement programs, including in the context of inspections and examinations launched by French prudential and market regulation authorities (ACPR and AMF). Anti-money laundering and terrorist financing laws are an area of particular strength. Where needed, the team also provides representation in pre-litigation and litigation matters.
Serge Durox has developed an innovative, client-centered approach that prioritizes strong engagement with all relevant divisions and departments, and enables him to deliver tailored solutions that meet his clients’ specific needs and requirements.
