Nick is a managing director within Duff & Phelps’ Regulatory Consulting practice. Prior to joining the firm, Nick was a Head of Department in the FCA's Markets Policy & International Division, where he was Senior Markets Adviser and was also responsible for the FCA's MiFID II Policy Project. Nick also worked in the FCA's Enforcement Division where he oversaw a wide range of regulatory and criminal markets cases involving subjects such as LIBOR manipulation, insider dealing, market manipulation and misleading statements.
Before joining the FCA, Nick was Head of Regulation at the London Stock Exchange (LSE) for almost a decade, where he was responsible for the regulation and oversight of all the LSE's markets. This included real-time surveillance and market abuse detection, development and enforcement of the LSE's secondary and primary market rules, the AIM market and real-time market operations.
Nick's other areas of expertise include regulatory and fraud investigation, having spent six years with KPMG Forensic and as a senior officer in HM Customs & Excise's National Investigation Service for seven years.
Nick is a chartered banker (ACIB), graduated BSc (Hons) in Physics from the University of Exeter and has a Diploma in Regulation and Compliance from the Chartered Institute for Securities and Investment.