Charlotte Martin

- Preparing and negotiating legal documentation in relation to OTC equity derivatives and Quantitative Index Strategies

- Supporting structurers and sales on projects to develop new platforms and products

- Reviewing marketing materials for the Quantitative Index Strategies business

- Drafting and Negotiating Master Agreements (ISDA/CSA, GMRA, NDA)

Hong Kong (06/2015 - 12/2017)

Sydney (01/2018 - 09/2022)

Hong Kong (10/2022 - 06/2024)

• Launching new funds on SPV Platform
• Working with structurers and sales on projects to develop new platforms and products
• Reviewing Index Rules for Quantitative Index Strategies
• Assisting Sales to draft termsheets for derivatives Structured Products
• Responsible for setting-up an automation process for legal documentation - working in coordination with Sales, Strats and IT
• Managing a high volume of trades
• Responsible for governance policy
• Managing the system that records flow transaction
• Liaising with Legal and Compliance on new products and organizing special products approval

• Banking and Financial law: researches on HKMA and SFC guidelines in regard of client's activity (insurance, fine art investments ... )
• Corporate law: companies' incorporation in Hong Kong and assistance on opening bank accounts in respect of KYC procedures and Customer Due Diligence rules

• Structured debt issues on all underlying asset classes (bond, commodity, credit, equity, FX, fixed income, RQFII) for Asia Pacific, including the preparation of and advice related Disclaimers, Final Term, Term Sheets, and Marketing Materials
• External issues for Asian, Brazilian, European and Turkish Issuers (Drafting Final Terms or Pricing Supplements under the issuer program, SWAP confirmation review ... )
• Understanding English law debt issuance program, regulations and guidelines in relation to structured products
• Providing pre-trade, execution and post-trade legal advice and assistance to Front Office (sales, structures and traders) and liaising with relevant stakeholders (tax, compliance, risk)
• Working with Compliance in connection with AML/ ABC clauses and Selling Restrictions

• In charge of documents migration for the European Directive - UCITS IV - Replacement of the simplified prospectus (12 pages) with a Key Investor Information Document (KIID - 2 pages) - about 70 funds completed
• In charge of structuring and setting up investment funds in various legal form (FCP, FCPE, SICAV)
• Registration of French funds in Europe (Italy and Spain)

• In charge of documents migration for the European Directive - UCITS IV - Replacement of the simplified prospectus (12 pages) with a Key Investor Information Document (KIID - 2 pages) - about 170 funds completed
• In charge of structuring and setting up investment funds in various legal form (FCP, FCPE, SICAV)
• Registration of French funds in Europe (Austria, Germany, Italy and Spain)
• Relationship with auditor for annual and bi-annual reports (FCP/SICAV)