Antonio La Rocca

As a senior associate in our Banking & Finance Department in Milan, I offer expertise in compliance and regulatory matters, thanks to a deep knowledge of banking legislation and investment services regulation.

Our Banking & Finance department is one of the market leaders thanks to a very experienced team. We have the right lawyers in place for our clients' needs with the high professional standards required to meet those needs.

With extensive experience in the banking and financial services sectors, I provide advice on regulatory matters to our clients in banking and financial matters, including assistance in administrative sanctions procedures carried out by Supervisory Authorities.

Over the years, I have developed particular experience in MiFID and MAR issues.

Before joining Bird & Bird, I was Senior Vice President at UniCredit S.p.A for over ten years, covering key leadership positions in the bank's compliance function, and appointed co-head of the Global Regulatory Counsel Department in the last two years. This allowed me to deal with day-to-day compliance issues that the group companies faced in several fields at international level.

I also worked in the National Commission for Companies and the Stock Exchange (CONSOB) for more than 11 years, initially in the inspectorate office and then in the intermediaries supervisory office. I also held important positions in the European and International Authorities as a member of FESCO (which then became CERS and now ESMA) and of the Intermediaries Group IOSCO.

The combination of 'private' and 'public' experience has enabled me to develop substantial expertise and experience on market trends and at the same time a significant institutional knowledge to better meet our clients' needs and to better understand the 'watchdogs'. It allows me to approach any issue properly and to make maximum use of my previous experience, providing good advice in the implementation of EU/national laws in the internal regulations of banking and financial companies.

I try to be innovative and collaborative in order to suggest the right solutions or to develop innovative ways to meet the needs of the clients in compliance with the applicable law.

I am strongly committed to achieving the best result for the clients efficiently. This allows me to have an effective client relationship that lasts long after the end of each assignment.

• Over the years, I have developed particular experience in Market Abuse Regulation at European and national level supporting issuers (whose financial instruments are admitted to trading on a regulated market or multilateral trading facilities) in preventing market manipulation and insider dealing issues and in assessing price sensitive information.
• As a public officer of Consob and member of the Compliance Department of UniCredit S.p.A. I have developed particular experience in banking and financial companies' regulatory assessment, focusing on business conduct rules and internal control systems.
• I also support our clients when they trade their financial instruments in multilateral trading facilities focusing on market liquidity conditions.
• Over the years, I have provided advice to several banking and financial companies whose financial instruments are admitted to trading on a regulated market or on multilateral trading facilities, focusing on establishing an internal regulatory framework on insider dealing, the unlawful disclosure of inside information and market manipulation as well as adopted measures to comply with market abuse regulation and to prevent market manipulation cases.
• I have been involved in a number of projects to assess banking and financial companies' readiness for an inspection by the Supervisory Authorities in order to identify in advance potential critical issues and to suggest the consistent remedies. In some cases I have been involved in the implementation of the measures to be complied with.
• I have advised several banks when they trade their financial instruments on multilateral trading facilities helping our clients understand risk profiles and guide them through the new regulation they have to comply with.

• I was a member of the team that provided legal assistance to some banks in the administrative sanctions procedures carried out by Supervisory Authorities and before the Court.