Eversheds Sutherland (International) LLP

Simon is a Regulatory Director within our Regulatory Consulting Practice. He is a compliance professional with more than 25 years extensive Financial Services experience gained from working in and with a broad spectrum of Financial Services companies. Directly involved in regulatory compliance for 20+ years, both as practitioner and consultant, and has dealt with a wide range of Financial Services regulators.

Specialist in Culture, Governance and Conduct issues, Senior Management Controls, enterprise-wide regulatory Risk Assessment. Simon also has experience of specialist projects including Skilled Person Reviews, due diligence investigations and past business reviews.

Simon has experience or providing consultancy services to many sectors including Wealth Management, Asset Management, Mortgage and General Insurance Intermediation, Life Assurance and Pension Funds, Wrap Platforms/Account Aggregation, SIPP Operators, Investment Banking, Corporate Finance, Broker Dealers, Private Equity and Venture Capital.

Examples of Previous Projects:

• Managed a number of Past Business reviews across a variety of industry sectors (both client driven reviews and Regulator instigated reviews)

• Led projects to deliver outcomes in relation to Governance, Systems and Controls, Culture and Ethics.

• Led work on several S166 investigations relating to suitability of advice, appropriateness of non-advised transactions and governance.

• Experienced in assessment of CASS compliance for firms handling client money and assets.

• Worked directly with numerous firms on financial resources issues, helping them to understand Financial Conduct Authority (FCA) reporting requirements and delivery under the GABRIEL reporting system, and capital resources requirements under BIPRU and GENPRU.

• Oversight of and practical involvement in internal capital and risk assessment processes for investment firms.

• Implemented an audit monitoring programme assessing systems and controls against regulatory requirements and internal procedures. Reviewed new client business against advisory regulatory requirements and financial promotions approval.

• Involved in projects to identify regulatory requirements in overseas jurisdictions for UK-based firms wishing to provide branch and other services, in non-EEA territories.

Regulatory Director