Yu Sum Man

Yu Sum is a legal and regulatory consultant with a strong focus on the interpretation and  implementation of financial regulations. She is specialized in the Dutch financial supervision act (Wft) as well as European financial regulatory regulations and directives. As anexperienced legal counsel she is well able to advise on various legal matters, always taking a practical approach. She has worked on manycomplex projects and knows well how to translate complicated laws and regulations into practical solutions. Furthermore, she acts as interim legal counsel for various financial institutions.

Relevant experience

• Implementing and advising on ESG laws and regulations, e.g. SFDR
• Implementing and advising on various financial regulatory laws and regulations, e.g.  AIFMD, UCITS, MiFID II, MAD/MAR, IDD
• Drafting, reviewing, implementing and participating in product approval & review process for financial institutions, e.g. investment firms, fund managers, insurance companies
• Acting as interim legal counsel for banks, investment firms and fund managers
• Setting up and restructuring of investment funds (Dutch and Lux funds)
• Cross-border mergers of investment funds
• Legal advice on various regulatory matters, e.g. qualification of new products/services, internal governance, product governance, inducements
• License application for a mortgage credit provider, including setting up new label/entity for a Dutch bank
• Drafting and reviewing of policies, procedures,  product disclosures and other (legal) arrangements;
• Providing regulatory updates about upcoming European and Dutch regulatory changes, including advice on regulatory strategy
• Rebranding project of investment services of Dutch bank