<a href="https://news.google.com/rss/articles/CBMie2h0dHBzOi8vd3d3LmV4cHJlc3MuY28udWsvc3BvcnQvZm9vdGJhbGwvNzk4MzAyL1dlc3QtQnJvbS1MZWljZXN0ZXItSmFtaWUtVmFyZHktQ2xhdWRpby1SYW5pZXJpLVByZW1pZXItTGVhZ3VlLW1hdGNoLXJlcG9ydNIBAA?oc=5" target="_blank">West Brom 0 - Leicester 1: Vardy shows what Ranieri was missing</a>&nbsp;&nbsp;<font color="#6f6f6f">Express</font>

West Brom 0 - Leicester 1: Vardy shows what Ranieri was missing - Express

Institute of Directors

University College Dublin

the Michael Smurfit School of Business, University College

University of Sydney (Law Extension Committee) / Legal Practitioners Admission Board NSW

CBHS Lewisham

Marist Brothers Penshurst

BOARD DIRECTOR: FINTECH, DeFi, PAYMENTS, REGTECH  -  CRYPTO  -  CENTRAL BANK / REGULATOR  -  EVENT SPEAKER  -  BREXIT  -  LAWYER

Dublin, County Dublin, Ireland

CV located at <a href="https://peteroakes.com/director-services.html">https://peteroakes.com/director-services.html</a>

- NOTE: We can provide free ad hoc time to new early stage (ie non-revenue generating) fintech startups. Not intended for those with commercial models or startups created by experienced professionals.]

Non-executive director & advisory roles in financial services, fintech, insurtech, data protection / GDPR & regtech.  Brexit advice on EU establishment.

Establishing a number of disruptive technology firms in financial services (fintech), compliance/regulation (regtech) & insurance (insurtech).  See map attached.

International Board and C-suite level advice & independent consultancy services to private and government sectors & professional service firms. See experience in my profile covering former roles, including:

-  Board Director & CRO at Bank of America Merchant Services (establishment of business in EU);
-  Director (Enforcement & Anti-Money Laundering) at the Central Bank of Ireland (Senior Leadership Team appointed to execute new central banking & regulation mandate following Irish crisis);
-  Advisor to Governor & Deputy Governor of Saudi Arabian Monetary Agency (corporate strategy, banking vision, risk-based supervision, enforcement & financial crime).

EU, UK, UAE & GCC & Australian laws/regulations, fintech, Brexit, financial crime, data protection & information security risks; combines with strategic business/management consulting & risk analysis capability, to central banks, regulators, banks, payment services firms, insurance companies, financial intermediaries & professional services firms.  Actively strategises, on consultancy basis, with C-suite professionals (CEOs, CROs & CCOs) on implementing controls for, & responding to, international risk based supervisory methodologies. Develop clients' strategic positioning of their leading & effective responses to regulatory interventions, investigations & enforcement.

Peter Oakes

Non-Executive Director Services, Central Banking, Regulatory, FinTech, Regtech, GDPR & Brexit

Peter Oakes is a consultant to the Kerman & Co. He is one of Europe’s leading FinTech experts, particularly at the intersection of digital financial services and regulation. He brings to Kerman & Co, his unique experience as both a central banker and fintech practitioner. Peter has an extensive mix of FinTech, RegTech, legal, regulatory, central banking, risk, compliance and board director level experience. He is a solicitor admitted in Ireland, the United Kingdom and Australia.  Peter is also the founder of Fintech UK (<a href="http://www.fintechuk.com">www.fintechuk.com</a>) and Fintech Ireland (<a href="http://www.fintechireland.com">www.fintechireland.com</a>).
Peter and the FinTech and Financial Services team at Kerman & Co are happy to discuss your Fintech, RegTech and Financial Services needs whether your business is an established financial services firm undertaking a journey of digitalisation through or a young start-up about to embark on your FinTech journey.  We can advise your FinTech business on preparing for a regulatory application filing, drafting your application and on-going carriage of your application through to successful authorisation.  My particular areas of expertise includes: Financial Services authorisations; regulatory advice, regulatory representation on supervisory and enforcement actions, anti-money laundering, financial services and data protection compliance.  Together with my team members, Kerman & Co’s Financial Services and FinTech practice covers a full suite of services including M&A, equity financings, financial services regulation, data protection and privacy, intellectual property, outsourcing, employment and immigration, helping businesses adapt to the way FinTech and RegTech is revolutionising B2C and B2B financial services.

See <a href="https://www.kermanco.com/our-people/peter-oakes/">https://www.kermanco.com/our-people/peter-oakes/</a>

Kerman & Co

Consultant

Non-Executive Chairman, AWM Wealth Advisers Limited.

AWM Wealth Advisers Limited is regulated by the Central Bank of Ireland under MiFID and passports its regulated services across the European Economic Area.

Abbey Wealth

Chairman

Non-executive director at Optal Financial Europe Limited. OFEL is regulated by the Central Bank of Ireland as an electronic money institution and passports its regulated services across the European Economic Area.

Optal Financial Europe Limited

Non Executive Director

CompliReg = Compliance & Regulatory Experts.

We are Outcomes Focused Advisors

We specialise in financial services regulation and fintech. We offer three core services: Regulatory Licensing; Business Establishment; and Regulatory Compliance

Check out recent contribution to <a href="http://MoneyLaundering.com">MoneyLaundering.com</a> here <a href="https://www.linkedin.com/feed/update/urn:li:activity:6446375514587308032">https://www.linkedin.com/feed/update/urn:li:activity:6446375514587308032</a>

CompliReg

Founder

All about data protection, data privacy & GDPR as we build out Privacy Ireland.  Happy to collaborate with subject matter experts (including professional services firms and individuals) with business acumen, experience and resources in Privacy. See launch announcement on LinkedIN at <a href="https://www.linkedin.com/hp/update/6264756588439969792">https://www.linkedin.com/hp/update/6264756588439969792</a>

Privacy Ireland (<a href="http://www.privacyireland.com">www.privacyireland.com</a>) - your data, your right - has been launched.  Having worked as a central banker/regulator, lawyer, GRC professional & now board director, it is becoming increasingly apparent that an initiative like Privacy Ireland is needed to help with thought leadership, exchange of views & learnings among the business community.

Privacy Ireland

Founder & Data Protection / GDPR expert

The FinTech50 panel considers FinTechs from Europe of all sizes across a wide range of verticals.
What do the panel look for? Startups who have the potential to become a game-changer and fast-growth FinTechs who have the competitive staying power to continue being one.

It's not a competition. There are no outright winners, no restrictions on size or turnover and it is absolutely free to take part. We don't rely on "entries" to select the 50 - our own research and our community compile our master list, so this form is entirely optional. It's just an opportunity to tell your FinTech story in your own words. <a href="http://thefintech50.com/the-fintech50-panel-2017">http://thefintech50.com/the-fintech50-panel-2017</a> <a href="http://thefintech50.com/the-fintech50-2017-apply/">http://thefintech50.com/the-fintech50-2017-apply/</a>  Deadline: 31/12/2016

FinTechCity - The FinTech50

Panel Member - The Fintech50 2017

Non Executive Director at multi-award winning TransferMate (InterPay Ltd), an authorised payments services firm (PSD) regulated by the Central Bank of Ireland. Global HQ in Ireland, passported across the European Economic Area, regulated in the USA, Canada, Australia, New Zealand and Jersey(see more at <a href="https://www.transfermate.com/en/regulations.asp">https://www.transfermate.com/en/regulations.asp</a>)

Launched in 2010, TransferMate Global Payments offer the smartest solution for business worldwide to both send and receive international payments.  Using our online platform and global banking infrastructure, we virtually eliminate the cost of sending international payments by collecting and sending payments using our own local bank networks. Our clients benefit from better exchange rates, lower bank transfer fees and direct integration into their back end accounting systems.

TransferMate now employs over 165 staff in our offices across Europe, North America and Australasia and have won several major awards globally for providing both clients and partners with innovative payment solutions.  Over 35,000 clients worldwide have changed the way they send and receive their international foreign currency money transfers. Employing some of the best minds in payments, compliance and fintech globally, the team at TransferMate are constantly innovating to ensure that our range of solutions are the best in the world. Go to <a href="http://www.TransferMate.com">www.TransferMate.com</a> for more

TransferMate Global Payments

Peter Oakes is a strategic consultant to the firm.  Peter works with Clark Hill on fintech, regtech, cyber security, Brexit, setting up an authorised financial institutions, on-going supervisory risk, enforcement and fitness & probity issues.  Peter brings to Clark Hill an excellent mix of fintech, legal, regulatory, central banking, risk, compliance and board director level experience. He is a qualified solicitor admitted in Ireland, the United Kingdom and Australia.

From 2010 – 2013, he was appointed the first Director of Enforcement and AML/CTF Supervision at the Central Bank of Ireland. In 2015 he advised the Governor and Deputy Governor (Banking Supervision) on the organisation strategy and banking supervision strategy, including helping mentor and develop the Saudi Arabian Monetary Authority's enforcement and AML supervisory teams. Peter served as the Registrar to the Australian federal tribunal, Companies Auditors & Liquidators Disciplinary Board, Senior Officer at the Australian Securities Commission and worked as an Enforcement lawyer with the UK Financial Services Authority.

In addition to his regulatory/central banking roles, Peter has served as Chief Risk Officer & Board Director at Bank of America Merchant Services (Europe), Company Solicitor at Baring Asset Management and in-house counsel at fund manager and administration companies.

Over the past 25 years he has worked both as a senior regulator/central banker and senior executive in the investment management, payments, reinsurance, funds and fintech industries in board, c-suite, legal and compliance roles gaining a wide range of strategic, supervisory and enforcement experience as well as assisting regulated entities and their boards dealing with enforcement actions.

Clark Hill Law

Strategic Business Consultant

Yearly selection of the 20 Irish fintech ones to watch!

<a href="http://irishtechnews.net/ITN3/are-you-one-of-irelands-top-fintech20-companies-apply-to-be-on-the-first-irish-fintech20-list/">http://irishtechnews.net/ITN3/are-you-one-of-irelands-top-fintech20-companies-apply-to-be-on-the-first-irish-fintech20-list/</a>

The Fintech20 Ireland

Panel Member

Susquehanna International Securities is authorised as an Investment Firm under Regulation 11 (1) or deemed authorised under Regulation 6 (2) of the European Communities (Markets in Financial Instruments) Regulations 2007 in Ireland by the Central Bank

Susquehanna International Group, LLP (SIG)

Non Executive Director, Susquehanna International Securities Limited

Fintech Ireland & Regtech Ireland

Fintech Ireland (<a href="http://www.fintechireland.com">www.fintechireland.com</a> & @fintechireland) promotes, supports & facilitates the #Irishfintech scene through holding events and speaking at events hosted by others. Our objective is to advance Ireland's unique ability, and leverage its capacity, to become and remain a global centre for fintech. Fintech Ireland and Fintech UK are complementary. There is an excellent business corridor between these two great nations and we aim to help this gateway (BIG = British Irish Gateway).

Through Fintech Ireland, I work with the founders, boards & executives of the companies where I am a non-executive director to assist and hone their strategies, business models and introduce them to sources of funding like venture capital, private equity, seed funding and innovation hubs.  I also have a particular interest in RegTech (Regulatory Technology).  I utilise my unique skill set of banking, payments, regulation and fintech (and former Director at the Central Bank of Ireland) to  advise firms on regulatory issues facing the fintech sector, e.g. Authorisation/Licensing, Payments Services Directive, 4th AML Directive and Data Protection Regulations and everything else in between.

We receive many queries from #startups, #entrepreneurs, #government and #investors looking to get involved in the fintech scene in Ireland from setting up in Ireland, getting a regulatory licence and finance.  We are happy to assist where we can.  Our email is <a href="mailto:hello@fintechireland.com">hello@fintechireland.com</a>.  Check us out on twitter at @fintechireland.  Want to get involved?  Then go to 'Get Involved' page on our website.

Fintech Ireland

Founder & Fintech Mentor

Fintech UK (<a href="http://www.fintechuk.com">www.fintechuk.com</a> & @fintechuk_HQ) promotes, supports & facilitates the #UKFINTECH scene through holding events and speaking at events hosted by others. Our objective is to advance UK's unique ability, and leverage its capacity, to become and remain a global centre for fintech. Fintech UK and Fintech Ireland are complementary.  There is an excellent business corridor between these two great nations and we aim to help this gateway (BIG = British Irish Gateway).

Through FintechUK, I work with the founders, boards & executives of the companies where I am a non-executive director to assist and hone their strategies, business models and introduce them to sources of funding like venture capital, private equity, seed funding and innovation hubs.  I also have a particular interest in RegTech (Regulatory Technology).  I utilise my unique skill set of banking, payments, regulation and fintech (and former senior regulator in Ireland, the UK and Australia) to advise firms on regulatory issues facing the fintech sector, e.g. Authorisation/Licensing, Payments Services Directive, 4th AML Directive and Data Protection Regulations and everything else in between.

We receive many queries from #startups, #entrepreneurs, #government and #investors looking to get involved in the fintech scene in the UK from setting up in the UK, getting a regulatory licence and finance.  We are happy to assist where we can.  Our email is <a href="mailto:hello@fintechuk.com">hello@fintechuk.com</a>.  Check us out on twitter at @fintechuk_hq.

FINTECH UK

If you are a Regtech and need a growth hack, get in contact with me.

Delighted to have been retained by the Mizen Group LLC to help advance its RegTech and Advisory business solutions.  See one on my whitepapers for Mizen here <a href="https://www.mizengrp.com/knowledge-center/">https://www.mizengrp.com/knowledge-center/</a>.

Mizen provides clients with a number of highly impactful regulatory technology solutions coupled with deep domain experience, including:

1) Compliance Culture Survey Diagnostics
2) AML/Sanctions Process Diagnostics
3) Customer Product Suitability Diagnostics
4) Information and Cyber Security Diagnostics
5) Data Governance & Protection Diagnostics

The USA, UK, Australia and Canada (and soon Ireland) have introduced individual accountability regimes which make individual senior managers personally responsible for adherence to positive compliance cultures and good conduct risk.  At least once a year firms must also certify that senior managers are suitable to do their jobs.  The Mizen Group's RegTech products helps firms reduce the likelihood of leaving themselves, and their employees, exposed to regulatory breaches through the use of legacy processes.  Recent examples of money laundering scandals emanating in Eastern Europe and spreading to Western Europe has seen Group Chairpersons, Group CEOs, Regional CEOs and Group CFOs forced from office due to shareholder, political and regulatory actions driven by public reputational damage for cultural shortcomings and egregious conduct risk failures.

Our approach enables clients to reduce money, time and the resources required to meet compliance obligations, while at the same time reducing corporate and personal risks.

The Mizen Group's suite of RegTech tools are available to regulated firms ranging from banks, insurers, MiFID, PSD, E-Money and Credit Unions in the USA, Europe and Australasia.

<a href="https://www.mizengrp.com/team/">https://www.mizengrp.com/team/</a>

The Mizen Group LLC

Advisory Committee Member

Member of the Global Advisory Board of Corlytics, the world leader in regulatory risk intelligence, appointed to further embed Corlytics’ leadership position in the growing global regtech industry.   <a href="https://www.finextra.com/pressarticle/70344/oakes-and-bundi-joins-corlytics-advisory-board">https://www.finextra.com/pressarticle/70344/oakes-and-bundi-joins-corlytics-advisory-board</a>

Corlytics

Member, Global Advisory Board

Read the announcement on the Australian Stock Exchange website here <a href="http://www.asx.com.au/asxpdf/20170614/pdf/43jxpm3wd6rpgy.pdf">http://www.asx.com.au/asxpdf/20170614/pdf/43jxpm3wd6rpgy.pdf</a>

Kyckr Limited (ASX:KYK), a regulatory technology company, is pleased to announce it has contracted globally recognised regulatory and compliance industry leaders, Mr Peter Oakes and Mr Bruce Quick as advisors to the Company.  Peter Oakes is a leading governance, regulatory and compliance expert who is actively involved in discussions on the regulatory and compliance landscape with global regulatory bodies, financial services, fintechs and regtechs.

Peter Oakes, Advisor to Kyckr said: “I am excited by my appointment as an Advisor to Kyckr, a global leader in anti-financial crime technology solutions. I am impressed by the talent of the team, their achievements to date and Kyckr’s unique regtech offering at a time when institutions face increased scrutiny from regulatory authorities. I am delighted to be participating in Kyckr’s continuing success and I am looking forward to utilising my experience and relationships to help drive accelerated growth.

Kyckr Limited

Member of the Advisory Board of Australian digital advisor / robo advisor and wealth manager Ignition Wealth (regulated by the Australian Securities & Investments Commission) - AFSL 470605).  Ignition Wealth is Australia’s leading robo financial advice specialist, offering affordable digital financial advice solutions and investment options for advisers, accountants, superannuation funds and enterprises.  <a href="https://www.ignitionwealth.com/our-team/">https://www.ignitionwealth.com/our-team/</a>  Looking forward to working with a great Australian team led by Mark Fordree and Mike Giles.

Ignition Wealth

Member of the Advisory Board

Advisor to Board and Group on Fintech, Regulation (incl. data protection & money laundering) and Strategy of UK FCA authorised payments institution passported throughout Europe.

Clearsettle

Advisor to Board and Group on Fintech, Regulation (incl. data protection & money laundering) and Strategy of UK FCA authorised electronic money institution and related payment services passported throughout Europe.  Achieved the firm’s FCA authorisation in July 2016.

Facekart

Ozan.com

Founding President & Board Member (2016-2019).  Founding & company law member (2016-present).

I led the the Irish incorporated Irish Australian Chamber of Commerce Chamber (CRO #584984) from its inception, prior to incorporation in June 2016, from January 2016 through to January 2019.  During this time I led the growth of membership in Ireland from zero to 40+ foundation and corporate members and 25+ individual members.  Within a short time of establishment we had the honour of H.E. Richard Andrews, Australian Ambassador to Ireland join as the Patron of the Chamber.

As a dual national Australian and Irish citizen, I see the establishment of organisations like the IACC excellent opportunities to continue growing the business foundations between Ireland and Australia.

My thanks to all for their support during my terms as President and board member, both in Ireland and Australia.

Irish Australian Chamber of Commerce

Founding President - Irish Australian Chamber of Commerce

Peter Oakes is executive director of Bank of America Merchant Services (Europe) and Chief Risk Officer (together with functions of MLRO, Chief Compliance Officer and Data Protection Officer) for the firm's European expansion. Responsible for working with the business to identify and navigate credit, market, product, regulatory and operational risk to enable predictable, sustainable growth.  Specific responsibilities for Risk Program Management, Compliance Risk Management and Data & Information Security Risk Management.

Formed in 2009 as a joint venture between Bank of America Corp and First Data, Bank of America Merchant Services (“BAMS”) has developed an industry track record as the premier payments company, providing clients transaction speed, security and reliability across a host of retail and ecommerce platforms.

Currently BAMS is the number one-rated electronic payments company in the industry with a proven record of 99.999% uptime, the business is in a phase of significant global expansion.

Bank of America Merchant Services

Board Director,  Chief Risk Officer, Data Protection & MLRO (Europe)

See details in Bank of America Merchant Services entry. I was employed by First Data and seconded to Bank of America Merchant Services in the position of Board Director and Chief Risk Officer.

First Data Merchant Services

Chief Risk Officer

As part of my private consulting business and non-executive director work, I undertook a short-term assignment with the Saudi Arabian Monetary Agency (SAMA).  In the role of Advisor I worked on SAMA's corporate strategy, banking supervision's risk based approach (building upon first hand experience of PRISM - the Irish Central Bank risked based system), enforcement and anti-money laundering requirements. I settled a number of enforcement/infringement  actions under local financial services law.  During this time I work on matters under the sponsorship of His Excellency Dr. Fahad A. Almubarak, Governor and His Excellency Abdulaziz Abdulrahman Alhelaissi (Deputy Governor, Supervision).  Following my time at SAMA, I met other global regulators to discuss and guide on best practice principles for establishing new and enhanced regulatory frameworks.  I made a lot of good friends in Saudi Arabia and the middle-east during my time there and I would recommend to all regulators and practitioners to consider getting involved in the paradigm shift and transformational change happening in the UAE & GCC.

Saudi Arabian Monetary Agency - SAMA

Adviser to Banking Supervision Division

Member of the Senior Leadership Committee of the Central Bank.  Led the national transformational change agenda in financial regulation and public sector reform, to rebuild financial stability and trust in public/institutional capacity.

Director of the Enforcement and Financial Crime (Anti-Money Laundering (AML) / Counter Terrorist Financing (CFT), Sanctions) Directorate with direct functional oversight of: circa 75 enforcement and financial crime professionals; all enforcement activity in banking, insurance, markets, financial crime and consumer protection sectors; fitness and probity investigations and all specialist supervisory activities of anti-money laundering/counter terrorist financing, financial sanctions/embargoes and unauthorised activities.  Member of the Senior Leadership Team  leading and driving the transformational change agenda following Ireland’s economic & banking crisis disaster. Member of management committees including, Operations, Supervisory Risk and Policy Committees.

Successfully established, led and managed the first Enforcement and Financial Crime Directorate function at the newly created Central Bank of Ireland.  Responsible for creation of a motivated and focused culture within the Central Bank for delivery of the mission: 'assertive risk based supervision - backed by a credible threat of enforcement'. The unprecedented financial crisis resulted in the initiation and execution of the largest, and most complex regulatory investigations in the history of the Central Bank.  In this leadership role I was part of the core senior executive team which significantly increased the levels of supervisory activity, the restoration of credibility in both regulation and the Central Bank and the rebuilding the foundations of trust in financial institutions..

<a href="http://www.centralbank.ie/press-area/press-releases%5CPages%5CStatement-PeterOakestostepdownasDirectorofEnforcement.aspx">http://www.centralbank.ie/press-area/press-releases%5CPages%5CStatement-PeterOakestostepdownasDirectorofEnforcement.aspx</a>

Central Bank of Ireland

Director of Enforcement & Financial Crime

For clients requiring independent non-executive directors, we provide such services through IFSC Capital & Investment Limited.

IFSC Capital & Investment Services Limited

Director, Owner & Company Solicitor  (associate business to Compliance Ireland)

Independent non-executive director of Oasis Global Management Company (Ireland) Limited regulated by the Irish Financial Services Regulatory Authority as a UCITS III management company.  See the Group website at <a href="http://www.oasis.co.za">http://www.oasis.co.za</a>

Oasis Global Management Company (Ireland) Limited

Independent Non-Executive Director

Peter is appointed as a member of the Panel of Assessors by the Irish Financial Services Regulatory Authority (IFSRA) pursuant to the Market Abuse, Transparency and Prospectus Regulations.

Panel of Assessors (Market Abuse, Transparency and Prospectus Regulations)

Member of Panel of Assessors

Regulatory consulting practice for clients based outside of Ireland.  We service clients in the United Kingdom, UAE, Australia, South Africa and Continental Europe through City Compliance Regulatory Services Limited.  Our sister business, Compliance Ireland Regulatory Services Limited, services clients doing business in Ireland and Irish clients operating overseas.

For clients requiring independent non-executive directors, we provide such services through IFSC Capital & Investment Limited.

City Compliance  works in the areas of: Corporate Governance, Law, Financial Services, Insurance, Casinos, Money Service Businesses, Governments, Compliance, Risk Management, Data Protection, Financial Crime, Market Abuse, Insider Dealing, Market Manipulation, Fraud Money Laundering and Risk.

City Complaince Regulatory Services Limited

Director, Owner & Company Solicitor (associate business to Compliance Ireland)

Founder, Owner, Managing Director & Company Solicitor of Compliance Ireland a regulatory consulting practice for clients doing business in Ireland and Irish clients operating overseas through Compliance Ireland Regulatory Services Limited.  Our sister business, City Compliance Regulatory Services Limited, services clients clients based outside of Ireland; such as the United Kingdom, UAE, Australia, South Africa and Continental Europe.

For clients requiring independent non-executive directors, we provide such services through IFSC Capital & Investment Limited.

Compliance Ireland works in the areas of: Corporate Governance, Law, Financial Services, Insurance, Casinos, Money Service Businesses, Governments, Compliance, Risk Management, Data Protection, Financial Crime, Market Abuse, Insider Dealing, Market Manipulation, Fraud Money Laundering and Risk.

Peter is non-executive director of Oasis Global Management Company (Ireland) Limited (regulated by the Irish Financial Services Regulatory Authority as a UCITS III management company).  Peter is appointed to the Panel of Assessors by the Irish Financial Services Regulatory Authority (IFSRA) pursuant to the Market Abuse, Transparency and Prospectus Regulations.

On being co-opted to join the NEW Central Bank of Ireland in late 2010, I had to divest all business interests which could be perceived as a potential conflict of interest (including my majority ownership and management of Compliance Ireland and Compliance Ireland Regulatory Services plus other businesses)

Compliance Ireland Regulatory Services Limited

Founder, Owner, Managing Director & Company Solicitor

Director of Legal and Compliance (and MLRO) for BISYS (Ireland). Providing legal, compliance and operational advice on corporate transactions, fund administration, fund structures, fund registrations and general IFSRA and FSA compliance. Peter was authorised as an approved person by IFSRA for this role.

BISYS

Director, Legal & Compliance

Company Solicitor for Barings Asset Management (United Kingdom). Advising on investment transactions and segregated portfolios, structuring managed synthetic collaterallised debt obligations, private equity and funds as well as providing regulatory advice on, and dealings with, the FSA, IFSRA and SEC.

Baring Asset Management

Company Solicitor

Head of Legal and Compliance for Delaware Investment Advisors (United Kingdom). Covering advice on the legal, operational and regulatory aspects of funds governed by SEC, FSA, IFSRA, Ontario and Japanese regulations and offshore funds.

Delaware Investments

Legal and Compliance Manager

Enforcement Lawyer and Investigator with the Financial Services Authority (United Kingdom). Covering investigations of, and enforcement actions against, a number of high profile investment houses, banks and funds.

Financial Services Authority

Regulatory Enforcement (Investigator/Lawyer)

Senior Officer Grade C - Australian Securities and Investments Commission

March 1993 - July 1997 - Legal Manager and Registrar, Companies Auditors and Liquidators Disciplinary Board (internal secondment).  The tribunal is established to hear evidence and determine breaches of statutory and common law obligations of auditors and liquidators, with the power to admonish, reprimand, suspend or cancel the licence of such persons.  As Registrar I provided legal advice to the tribunal on: the merits of ASIC prosecutions against insolvency practitioners and company auditors, professional negligence and general law.  Presided at direction hearings on the conduct of litigation and evidentiary issues.  Acted as cost assessor and taxation officer. Instructed external counsel on judicial reviews of tribunal decisions. Mediated regulatory disputes prior to formal hearings; evaluated evidential issues and drafted reasons for decisions and appeal papers on behalf of the tribunal; established the business practices of the tribunal; and administered annual budgets.

July 1991 - March 1993 - Senior Para-legal officer, Chief Counsel's Office, Sydney.  Provided legal assistance to senior solicitors and investigators in the performance of the ASIC's statutory functions (e.g. advice on the legality of investment products, unauthorised fund raising, market abuse and director's duties); and provided litigation support on corporate law and regulatory matters before the Federal and Supreme Courts (e.g. involving investor and market protection); and appeared on behalf of the government in summary prosecutions of company directors and secretaries.

Australian Securities & Investments Commission

Senior Officer

Prepared/reviewed/negotiated conveyances, tenancies and other property documentation.  Advised clients on mortgages and consents to lease. Assisted in Supreme Court litigation (Common Law, Building and Construction and Equity Divisions) involving complex construction and leasing matters.