PIMFA Compliance Conference 2023

Alex joined PIMFA in June 2017 as a Policy Adviser, where she works on a wide range of regulatory matters, engaging with policy makers and the regulator to promote members’ interests.

She previously worked for the Association of Professional Financial Advisers (APFA) in the same capacity. APFA merged with the Wealth Management Association (WMA) to form PIMFA.

Alex has a legal background, having studied law at Cambridge University and was called to the Bar in 1997. She was a tenant at Lamb Chambers, Temple where she specialised in personal injury claims, contractual disputes and professional negligence. Alex has experience of advisory, drafting and court work including appearances in the Court of Appeal, the High Court and county courts.

Lucy has worked at the FCA since 2008 across a variety of different roles. The majority of her career has been spent in Supervision, but she also has extensive experience of designing and implementing policy, having overseen the implementation of the Mortgage Market Review and the overhaul of the financial promotions rules for high risk investments. She also spent a year in Authorisations, as Head of Department for dual-regulated firms.

Clive is a partner in our Financial Services Regulatory practice; and head of the advisory (non-contentious) team in London.

Clive is a leading financial services law and regulation lawyer. With extensive City experience, including time as a banking regulator with the Bank of England and in-house, Clive advises banks, asset managers, insurers and other financial institutions on a wide range of regulatory and compliance matters across the financial services, banking and funds sectors.

Feedback from clients for Clive’s work includes praise for his “client responsiveness, business sense and ability to manage his legal team” and that “whenever we deal with EU matters, he’s extremely responsive, and he understands our business very well.”

Areas of special sector expertise are banking, asset management (including private wealth management) and securities regulation.

Chris is a contentious financial services regulatory specialist.

Chris acts for a number of banks and other financial institutions, primarily on contentious regulatory matters. He advises clients on internal investigations, FCA and PRA enforcement matters and on interactions with the FOS. His experience in contentious matters also informs his advice to clients on regulatory compliance particularly with respect to culture, governance and conduct risk.

Chris has been on secondment to three international investment banks in both London and New York; this in-house experience has led him to understand better the needs of his clients in order to produce clear, focussed assistance and advice.

Chris specialises in issues facing wholesale banks, particularly in relation to market abuse.  He has acted on some of the most high-profile contentious regulatory matters in the market, including in connection with LIBOR and FX investigations, Skilled Persons’ Reviews and Parliamentary investigations.

He also specialises in matters relating to culture and governance, acting in the Salz Review of Barclays and the Kelly Review of the Co-operative Bank.

Chris is dual qualified in England & Wales and in New York. He spent two years on secondment to Herbert Smith Freehills’ New York office where he acted on matters involving investigations by the SEC and DOJ.

Nic is an expert in People and Performance Management with over 11 years’ experience of advising on IT-based business solutions at board level to the UK’s financial services industry. He has worked with many of the UKs most recognised financial services brands to deliver flexible and impactful software solutions. Nic is a specialist in the Senior Managers Regime; Regulatory Compliance; Conduct Risk Management and Training & Competence. He is also an authority in Quality Assurance; Complaint Management & Customer Feedback systems and Treating Customers Fairly. Nic is an advocate of the need to focus on managing individual competence and cultural conduct when targeting tangible real-world performance benefits and productivity gains.

Sarah has broad ranging knowledge and experience of the Financial Services industry gained from senior roles in both the commercial, charity and regulatory environment. Well known for assisting firms, mostly in the financial services sector, to meet regulatory standards by translating regulatory requirements into practical and useful solutions for organisations to adopt.

As a director of a governance and regulatory consultancy Sarah has delivered a complex range of services to help boards meet their full potential. She has undertaken board effectiveness reviews, conduct risk framework reviews and culture audits, providing clear action plans for the firms, universities and governing bodies.

She is Chairman of the Later Life Accreditation Panel for the Society of Later Life Advisers.

Marina is a partner in our advisory (non-contentious) Financial Services Regulatory practice.

Marina is a financial regulation specialist with extensive experience of advising a wide range of financial services clients including investment banks, broker-dealers, private and retail banks and asset managers.

Marina covers a broad spectrum of regulatory issues including conduct of business, governance, licensing, restructuring, multi-jurisdictional compliance and regulatory considerations arising in the context of corporate transactions.

Marina has supported clients with large scale regulatory change implementation projects such as MiFID II, Brexit and Ringfencing. She has also more recently helped clients navigate the complex landscapes of CSDR and Sustainable Finance/ESG. Marina has also worked with industry trade associations on topics such as MiFID and CSDR.

As your member of Parliament for South Cambridgeshire, I am elected to represent your interests and concerns in the House of Commons.

The House is where we consider and propose new laws and raise issues that matter to you. This includes asking government ministers questions about current issues, including those which affect local constituents. When Parliament is sitting (meeting), I can be found working in the House of Commons, attending debates, attending committees, taking meetings with everyone from the Prime Minister to local groups, and voting on new laws. This allows me to contribute to the national debate, as well as represent local concerns either by asking a question of a government minister on your behalf or supporting and highlighting particular campaigns which local people feel strongly about.

Most MPs are also members of committees, which look at issues in detail, from government policy and new laws, to wider topics like human rights. My committees include the Treasury Select Committee, the Public Accounts Committee, and several Bill committees where we scrutinise a single piece of legislation line-by-line. As a member of the Conservative Party, I chair the Backbench Treasury Committee, working with the Chancellor as a link to backbenchers and proposing new financial legislation. I am also a member of a number of All-Party Parliamentary Groups, where MPs from any political party come together to lobby on key issues, such as the Environment.

Tracy joined City Asset Management in 2012, after qualifying as a solicitor at Freshfields in 2006 and subsequently spending 10 years on the equity trading floor at Morgan Stanley. As a member of the Risk and Compliance team at CAM, Tracy particularly enjoys client interaction and spearheads a number of regulatory initiatives, including vulnerable persons and consumer duty. Tracy has 3 teenage daughters, 2 dogs and 2 guinea pigs and enjoys cooking for them all.

Tessa has 30 years’ experience in the investment management industry, in roles including equity analyst, portfolio manager, programme manager, advice firm and wealth management consultant, and founder CEO of AssetQ, provided a breadth and depth of experience of the firms involved in the manufacture, provision, sale and ongoing administration and management of products and services to the end retail customer, leading to directing Quilter’s Consumer Duty programme.

Trisha Horncastle is a Compliance Technical Manager at abrdn, where she has worked for the past ten years. Trisha has over 30 years of experience in the financial services industry and has been involved in the implementation of many regulatory changes over those years. With a particular interest in retail clients and vulnerable customers, the most recent change has been the FCA’s Consumer Duty. Trisha has been involved with the Consumer Duty since the initial consultation was published and was one of the main compliance advisory leads within abrdn. More recently she has facilitated, co-ordinated and acted as a compliance SME across the implementation projects in abrdn.

In her spare time, Trisha enjoys socialising with friends and family and walking with her husband and their schnoodle dog, Flo.

In her role as senior policy adviser, Yasmin will be working closely with PIMFA’s Head of Regulatory and Compliance, Alex Roberts on issues relating to financial crime and vulnerable customers, with a focus on PIMFA’s consumer duty working group.

Before joining PIMFA, Yasmin worked as a senior executive in the policy team at TheCityUK. Yasmin previously held roles in the civil service working with industry, the Commission and EU member states on cross cutting regulatory issues. Yasmin also worked at a lobby company, a policy forum, and on the parliamentary estate.

As Head of IT and CISO Jon has more than 34 years’ experience in the IT industry and held numerous IT positions since starting his career programming mainframe computer systems in the 1980s. He has directed the IT department for JM Finn, an established wealth management organisation for more than 20 years.

Jon is a technical leader and security specialist with extensive experience delivering transformative security solutions. Jon has a passion for IT Security and is risk focused, understanding the bigger picture, delivering secure business objectives through a grasp of broad industry trends and new technologies.

Jon holds numerous industry recognised cyber security certifications including CISSP, CISM, C|CISO, CEH, CHFI and MBCI. He returned to academia in 2016 obtaining a Master’s Degree (with Distinction) in Cyber Security and is currently working towards a PhD in a cyber-security related subject.

An experienced organisational agility and resilience ‘hybrid’ consultant and leader. He connects business and technical leadership of digital innovation cyber resilience and data protection.

He works collaboratively, is discovery driven and adept at integrative decision-making to navigate the balance of innovation, agility and resilience. Works closely with business, customers and subject matter experts to align outcomes, manages risks and resources; enhances reputation whilst communicating with simplicity and clarity.

Anthony Kirby leads Regulatory Intelligence across the EMEIA Wealth and Asset Management and Capital Markets sectors. He joined EY after spending significant time within the capital markets and asset management industry where he held numerous senior and executive-level roles in Trading, Operations, Risk Management at Accenture, Deutsche Boerse, Merrill Lynch, SWIFT, Instinet, Reuters and the Chicago Mercantile Exchange.

Anthony is on the boards of various risk and regulation-focused associations, including PRMIA, and he is a Member of the City of London International Regulatory Experts Group (IRSG). In 2002, he founded the Reference Data User Group, going on to create the MiFID JWG/Best Execution & Trading working group since 2005. More recently, he has been involved in industry market practices across areas such as Blockchain, Liquidity Risk Management and environmental, social and governance (ESG) investing.

Anthony was awarded a PhD in Physics from Jesus College, University of Cambridge.

Mark is an experienced C-level executive CTO and COO with 25+ years of international management experience in Private Banking, Wealth Management, and Capital Markets.

Mark started his banking career with JP Morgan, before joining Merrill Lynch. Most recently Mark was global COO & CTO at EFG International.

Mark is experienced in team-building, executive level leadership, talent development, platform & digital strategies & delivery, supplier management & negotiation, large acquisitions/mergers, platform integrations and synergy realisation.

Kevin Sloane has worked in financial services for over 40 years.
His areas of interest and expertise are wealth management operations and technology.

Kevin is a Chartered Member of the Chartered Institute of Securities and Investment and is a member of the CISI’s Wealth Management Forum Committee.

Alex joined PIMFA in June 2017 as a Policy Adviser, where she works on a wide range of regulatory matters, engaging with policy makers and the regulator to promote members’ interests.

She previously worked for the Association of Professional Financial Advisers (APFA) in the same capacity. APFA merged with the Wealth Management Association (WMA) to form PIMFA.

Alex has a legal background, having studied law at Cambridge University and was called to the Bar in 1997. She was a tenant at Lamb Chambers, Temple where she specialised in personal injury claims, contractual disputes and professional negligence. Alex has experience of advisory, drafting and court work including appearances in the Court of Appeal, the High Court and county courts.