Compliance and Regulatory Consulting
Local and global compliance expertise for the financial services industry.
Jane Stoakes joined Duff & Phelps in January 2015 from Kinetic Partners. As a result of Duff & Phelps’ acquisition of Kinetic Partners, Duff & Phelps created a dedicated Compliance and Regulatory Consulting practice.
Jane is a director on the Compliance Consulting team and manages relationships with a broad range of firms, but particularly brokers, advisers, corporate finance advisers and asset management firms. Currently she is working on cross-border issues within the UK and US.
Jane has worked within the regulation and compliance industry since 1991. She gained experience in compliance at Natwest Stockbrokers Ltd, before spending seven years within the surveillance division of the FSA and its predecessor, the Securities and Futures Authority, where she specialized in private clients, particularly client assets and conduct of business rules, and corporate finance.
Other Areas We Can Help
By Jurisdiction
Regionally targeted assistance for asset managers in compliance program development, implementation and maintenance
EU Regulation
Comprehensive compliance and regulatory support for EU firms.