Mohamed Fathy

Corporate, Banking and Capital Markets

• Providing legal advice and counsel to clients on corporate law, commercial law, capital markets law, civil law, labor law, and competition protection law, AML law and regulations, corporate governance rules and regulations.
• Drafting and reviewing, wills, disclosures, board minutes of meetings and decisions, general assemblys minutes of meeting and decision, and other legal documents for clients.
• Drafting and reviewing legal documents for filing before regulators.
• Assisting businesses to prevent, navigate, and resolve complex legal issues.
• Assisting and advising businesses on establishing their companys structure, policies, and procedures for their business operations.
• Ensuring all relevant laws and outcomes are understood and complied with by businesses.
• Conducting legal due diligence.
• Leading M&A transactions from inspection to closure.
• Leading IPOs from pre-admission restructurings, due diligence and corporate governance issues, to liaising with Sponsors, Underwriters, Reporting Accountants and the Capital Markets Authority.
• Leading MTO Transactions.
• Leading Listing Transactions.
• Advising international law firms and companies on Kuwait law matters

• Providing legal advice and counsel to clients on corporate law, commercial law, capital markets law, civil law, labor law, and competition protection law, AML law and regulations, corporate governance rules and regulations.
• Drafting and reviewing, wills, disclosures, board minutes of meetings and decisions, general assemblys minutes of meeting and decision, and other legal documents for clients.
• Drafting and reviewing legal documents for filing before regulators.
• Assisting businesses to prevent, navigate, and resolve complex legal issues.
• Assisting and advising businesses on establishing their companys structure, policies, and procedures for their business operations.
• Ensuring all relevant laws and outcomes are understood and complied with by businesses.
• Conducting legal due diligence.
• Leading M&A transactions from inspection to closure.
• Leading IPOs from pre-admission restructurings, due diligence and corporate governance issues, to liaising with Sponsors, Underwriters, Reporting Accountants and the Capital Markets Authority.
• Leading MTO Transactions.
• Leading Listing Transactions.
• Advising international law firms and companies on Kuwait law matters

• Provide specialized compliance advice tailored to the specific industry, regulatory environment, and business model.
• Offer strategic recommendations to enhance compliance frameworks and minimize risk exposure.
• Provide regular updates and advice on new regulatory requirements and emerging risks.
• Ensure that compliance programs are customized to meet the organizations specific needs while aligning with external legal standards.
• Conduct compliance risk assessments to identify gaps, weaknesses, and areas for improvement.
• Lead investigations into potential compliance breaches or regulatory violations and recommend corrective actions.
• Assist with regulatory inspections and audits by external authorities or agencies.

• Ensure the company complies with all relevant laws and regulations, including industry-specific regulatory frameworks.
• Interpret and advise on laws, rulings, and regulations, particularly in financial crime, AML-CFT, and sanctions compliance.
• Liaise with regulatory bodies to manage licensing, reporting, and audits.
• Develop, review, and update compliance policies, especially AML-CFT policies.
• Implement internal systems to monitor and ensure compliance with legal and regulatory requirements.
• Provide legal advice and guidance to senior management and departments on contractual matters, corporate governance, and business operations.
• Draft, review, and negotiate contracts, agreements, and other legal documents.
• Conduct training programs to increase awareness of legal obligations, AML-CFT risks, and compliance protocols across the organization.
• Conduct regular risk assessments of the companys exposure to money laundering and terrorism financing risks.
• Maintain and update the companys AML-CFT framework in line with local and international standards.
• Support the Board of Directors by ensuring adherence to corporate governance principles.
• Assist in the development and implementation of governance policies and the companys compliance framework.
• Ensure that board members receive timely updates on legal, compliance, and risk management matters.

• Ensure the company complies with all relevant laws and regulations, including industry-specific regulatory frameworks.
• Interpret and advise on laws, rulings, and regulations, particularly in financial crime, AML-CFT, and sanctions compliance.
• Liaise with regulatory bodies to manage licensing, reporting, and audits.
• Develop, review, and update compliance policies, especially AML-CFT policies.
• Implement internal systems to monitor and ensure compliance with legal and regulatory requirements.
• Provide legal advice and guidance to senior management and departments on contractual matters, corporate governance, and business operations.
• Draft, review, and negotiate contracts, agreements, and other legal documents.
• Conduct training programs to increase awareness of legal obligations, AML-CFT risks, and compliance protocols across the organization.
• Conduct regular risk assessments of the companys exposure to money laundering and terrorism financing risks.
• Maintain and update the companys AML-CFT framework in line with local and international standards.
• Support the Board of Directors by ensuring adherence to corporate governance principles.
• Assist in the development and implementation of governance policies and the companys compliance framework.
• Ensure that board members receive timely updates on legal, compliance, and risk management matters.

• Provide legal advice on all matters affecting the brokerage firm, including securities laws, financial regulations, corporate governance, and trading practices.
• Draft, review, and negotiate contracts, agreements, and legal documents related to trading platforms, clearinghouse, and counterparties.
• Oversee the handling of disputes and litigation, ensuring the firms legal interests are protected.
• Manage relationships with external counsel and other third-party legal services providers as needed.
• Monitor changes in rules and regulations from CMA, exchanges, clearinghouse, and relevant regulatory bodies, advising the business on required actions.
• Lead compliance efforts related to financial crime prevention, including Anti-Money Laundering (AML), Know Your Customer (KYC), Counter-Terrorism Financing (CTF), and sanctions requirements.
• Oversee compliance with regulatory reporting requirements and ensure all filings are accurate and submitted in a timely manner.
• Develop strategies to mitigate legal, compliance, and reputational risks related to market conduct, trading violations, or client mismanagement.
• Develop and implement internal controls that ensure compliance with regulatory obligations, including those related to AML, client protection, and trading integrity.
• Ensure proper documentation and record-keeping of compliance activities and risk management processes.
• Promote a culture of compliance, ethics, and transparency within the firm by raising awareness of legal and regulatory risks.
• Ensure that senior management and board members are regularly informed of compliance issues and regulatory developments.

• Provide legal advice on all matters affecting the brokerage firm, including securities laws, financial regulations, corporate governance, and trading practices.
• Draft, review, and negotiate contracts, agreements, and legal documents related to trading platforms, clearinghouse, and counterparties.
• Oversee the handling of disputes and litigation, ensuring the firms legal interests are protected.
• Manage relationships with external counsel and other third-party legal services providers as needed.
• Monitor changes in rules and regulations from CMA, exchanges, clearinghouse, and relevant regulatory bodies, advising the business on required actions.
• Lead compliance efforts related to financial crime prevention, including Anti-Money Laundering (AML), Know Your Customer (KYC), Counter-Terrorism Financing (CTF), and sanctions requirements.
• Oversee compliance with regulatory reporting requirements and ensure all filings are accurate and submitted in a timely manner.
• Develop strategies to mitigate legal, compliance, and reputational risks related to market conduct, trading violations, or client mismanagement.
• Develop and implement internal controls that ensure compliance with regulatory obligations, including those related to AML, client protection, and trading integrity.
• Ensure proper documentation and record-keeping of compliance activities and risk management processes.
• Promote a culture of compliance, ethics, and transparency within the firm by raising awareness of legal and regulatory risks.
• Ensure that senior management and board members are regularly informed of compliance issues and regulatory developments.

• Develop, implement, and maintain corporate governance policies, charters, and practices to ensure compliance with local and international standards.
• Ensure alignment with corporate governance codes, such as those issued by stock exchanges, regulatory bodies, or industry associations.
• Advise the board of directors on governance matters, including board composition, roles, and responsibilities.
• Organize and manage board meetings, prepare meeting agendas, and maintain minutes of meetings.
• Ensure that board decisions and policies are implemented and monitored effectively.
• Manage communications and interactions with shareholders, ensuring transparency and adherence to corporate governance regulations.
• Facilitate the organization of Annual General Meetings (AGMs) and other shareholder meetings.
• Ensure compliance with all legal and regulatory requirements, including companies laws, CMA and stock exchange listing disclosure requirements.

• Develop, implement, and maintain corporate governance policies, charters, and practices to ensure compliance with local and international standards.
• Ensure alignment with corporate governance codes, such as those issued by stock exchanges, regulatory bodies, or industry associations.
• Advise the board of directors on governance matters, including board composition, roles, and responsibilities.
• Organize and manage board meetings, prepare meeting agendas, and maintain minutes of meetings.
• Ensure that board decisions and policies are implemented and monitored effectively.
• Manage communications and interactions with shareholders, ensuring transparency and adherence to corporate governance regulations.
• Facilitate the organization of Annual General Meetings (AGMs) and other shareholder meetings.
• Ensure compliance with all legal and regulatory requirements, including companies laws, CMA and stock exchange listing disclosure requirements.