Gary is a highly experienced financial regulatory compliance professional who has been involved in compliance since 1994 as a regulator, head of compliance for hedge funds, asset managers and boutique investment banks and has run his own boutique consultancy since September 2013.
Gary has extensive asset management, hedge fund and investment banking experience gained at Lautro/PIA, Henderson, Brevan Howard and Religare Capital Markets in addition to a broad and deep understanding of corporate governance. Gary is a regular conference speaker and author of technical articles on compliance-related topics. He sits on the regulatory advisory group of the Journal of Securities Operations and Custody. Gary holds Masters degrees from Oxford and London Universities and an MBA from the Open University Business School. He is a former director of Cayman and Luxembourg domiciled hedge funds, as well as regulated companies in the UK and South Africa. Gary has been an FSA/FCA registered person in Controlled Functions 10 and/or 11 since 2001.
He has had extensive involvement with FCA-related Approved Persons/contractual and oversight matters including sensitive investigations involving criminal activity as well as FCA-related rule breaches. He has also successfully advised on applications for authorisation by persons with sensitive past histories.
- Fellow of the Chartered Management Institute
- Associate Member of the Institute of Directors
- Associate of the Chartered Institute of Securities and Investments
- Member of the Editorial Board of the Journal of Securities Operations