Compliance and Regulatory Consulting
Local and global compliance expertise for the financial services industry.Compliance and Regulatory Consulting
Duff & Phelps, the premier global valuation and corporate finance advisor, today announced the appointment of Nick Bayley as a managing director in its Compliance and Regulatory Consulting practice in London. Further strengthening the firm’s expertise globally, Nick will lead the wholesale markets practice, with a particular focus on assisting clients to prepare for forthcoming markets regulation such as MiFID II and MAR.
With over 25 years’ regulatory and investigative experience, Nick joins Duff & Phelps from the Financial Conduct Authority (FCA). He was Head of Department in the FCA's Markets Policy & International Division, Senior Markets Adviser and responsible for the regulator's MiFID II Policy Project. Nick also worked in the regulator’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. Prior to the FCA, Nick was Head of Regulation at the London Stock Exchange for almost a decade, where he was responsible for the regulation and oversight of all the London Stock Exchange’s markets. Nick also brings extensive forensic and fraud investigation expertise, having worked in the Forensic consulting division of a Big 4 firm and as a senior officer in HM Customs & Excise's National Investigation Service.
Julian Korek, Global Head of Compliance and Regulatory Consulting at Duff & Phelps, commented: “We are delighted that Nick has joined our Compliance and Regulatory Consulting team. Nick’s extensive expertise will be instrumental in helping our clients internationally prepare for MiFID II and other regulatory challenges. This senior level appointment, combined with our recent acquisition of CounselWorks, demonstrates our commitment to and recognized leadership in providing the best compliance and regulatory counsel to the global financial services industry.”
About Duff & Phelps
Duff & Phelps is the premier global valuation and corporate finance advisor with expertise in complex valuation, dispute and legal management consulting, M&A, restructuring, and compliance and regulatory consulting. The firm’s more than 2,000 employees serve a diverse range of clients from offices around the world. For more information, visit www.duffandphelps.com.
M&A advisory and capital raising services in the United States are provided by Duff & Phelps Securities, LLC. Member FINRA/SIPC. Pagemill Partners is a Division of Duff & Phelps Securities, LLC. M&A advisory and capital raising services in the United Kingdom and Germany are provided by Duff & Phelps Securities Ltd., which is authorized and regulated by the Financial Conduct Authority.
077 5494 3601 / 020 7360 4900
April 28 - May 1, 2019 Cayman Islands