The PIMFA CASS Academy 2025

Katharine is a regulatory compliance consultant within Leaman Crellin Limited with a background in both professional practice and the financial services industry. With over thirty years of experience in regulatory risk and governance within the banking, insurance, and distribution, financial services industries, including the FCA. She is a highly experienced compliance expert with an executive leadership background experienced in running compliance functions in banks and dealing with FCA requests and supporting banks in remediating issues identified by the regulators.

Priscilla is a certified compliance professional specialising in governance, risk management and compliance. With a career spanning 25+ years, she has previously worked as a consultant providing regulatory advice to firms from various FS sectors. She has also held senior management roles as the Chief Compliance Officer and MLRO.

Priscilla has significant experience in designing and implementing compliance processes and controls as well as risk management frameworks. She is a Fellow of the International Compliance Association and a member of the Chartered Institute of Securities and Investments.

Neil has joined Leaman Crellin as a Principal Compliance Consultant. He brings huge experience having worked in a regulatory  roles at the UK FSA/PRA for almost 5 years and at Barclays for almost 7 years and recently overseeing Compliance and licensing in the digital assets sector with OKX and Copper Technologies where he has been working since 2021 before joining Leaman Crellin.

In his time at the Financial Services Authority/Bank of England, Neil oversaw a portfolio of international corporate banks in his role in supervision, leading supervisory visits, ICAAP, ILAA and RRP reviews.

At Barclays, Neil led regulatory horizon-scanning and assessment teams across the Corporate Bank- working across a huge variety of EU and global regulations. He carried at advocacy with the Bank of England, Central Bank of Ireland and other authorities on Structural Reform, Payments and key regulatory issues.

Neil has overseen regulatory licensing applications with UK FCA, Swiss and Gibraltar regulators in his roles at OKX and Copper Technologies.

Major Accomplishments:

• Led the design and development of a regulatory repository at Barclays – to enable business functions to quickly identify the regulatory universe applicable to their areas
• Oversee multi-divisional and global regulatory impact assessments across a range of EU and global regulations.
• Built a regulatory horizon scanning function at Copper Technologies and led the successful application of the Swiss VQF license application.
• Oversaw digital asset license applications for Gibraltar and UK FCA regulators.

Areas of Expertise:

• Regulatory horizon-scanning
• Regulatory impact assessments and implementation guidance
• Digital Assets
• Banking
• Compliance Policies and Procedures
• Risk Frameworks
• Authorisations and Licensing – AMLD5 applications

Jason Keeping is Fidelity International’s Director, Global Reconciliation, CASS & Oversight. Leading the oversight function for CASS operational processes, Jason assesses the effectiveness of the firm’s client money and client asset arrangements based on the regulatory framework and requirements.

In 2003, Jason joined Fidelity as a Senior Manager in Business Finance and supported several business areas, including Customer Services. In 2010, Jason was promoted to Director of Business Management, reporting to the Head of Customer Services and the then CF10a (precursor to SMF24 PR Z) and was part of the Customer Services Senior Management leadership team and a member of the CASS Forum.

Stewart is a seasoned financial services professional with over 20 years of experience in asset management, specialising in client assets (CASS) compliance. He is currently a Board member, Director and Head of Operations Control within a leading UK merchant banking group with over £19 billion in assets under management.

As the Head of Operations Control Stewart is responsible for ensuring the operational effectiveness of the systems and controls that safeguard the firm’s compliance with CASS regulations. He also reports to the firm’s governing bodies and regulators on CASS matters, oversees the key outsourced providers, and chairs the PIMFA CASS Working Group.

Stewart holds a diploma in Investment Operations from the Chartered Institute of Securities and Investment, where he is a Chartered Fellow and a member of the client assets panel. He is also a Chartered Manager and a Chartered Fellow of the Chartered Management Institute.

Stewart has a proven track record of developing and implementing robust operational risk and control frameworks in asset managers, as well as handling Section 166 FCA requests and investigations.

Dina is a Managing Director in Quantuma’s Restructuring & Insolvency team specialising in advising regulated financial services entities. Based in London, Dina has extensive expertise in managing complex investigations within the financial services industry.

Dina is a qualified chartered accountant and a licensed Insolvency Practitioner (IP) and has over 20 years’ experience advising on forensic and accounting investigations, regulatory enforcement and insolvency related matters.
Having spent ten years working for the Financial Conduct Authority (then the Financial Services Authority), her knowledge of the financial services regulatory framework, including the FCA handbook, is second to none. During this time, she led successful forensic investigations into market abuse, fund management, custody, systems and controls, financial crime, money laundering and client asset cases.

Chloe is a Senior Manager at Bovill-Newgate providing clients with regulatory and compliance advice on CASS and safeguarding.

Before joining Bovill Newgate, Chloe was an external audit manager at PwC for both financial statement audits and CASS audits for a range of financial services firms. Her experience on CASS audits has covered a variety of product offerings and business models, exemptions and outsourcing arrangements. Chloe’s audit history has also provided experience with one-off transactions, system migrations and business model changes to give a breadth of scenarios impacting regulatory risks.

Chloe is an ACA BFP qualified chartered accountant with the Institute of Chartered Accountants in England and Wales (ICAEW) and has a BA (Hons) degree in Accounting and Finance.