Compliance and Regulatory Consulting
Local and global compliance expertise for the financial services industry.
Compliance and Regulatory ConsultingJane 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.
Related Services
Compliance and Regulatory Consulting
By Jurisdiction
Regionally targeted assistance for asset managers in compliance program development, implementation and maintenance
By Jurisdiction
Compliance and Regulatory Consulting
EU Regulation
Comprehensive compliance and regulatory support for EU firms.
EU RegulationInsights
Report
European Industry Market Multiples
Publication
Regulatory Watch – Asset Management Q3
by Hannah Rossiter
Publication
Finance Bill 2018
by Marie Barber
Publication
Algorithmic Trading Under MiFID II: Increased Regulatory Expectations and Annual Self-assessment
by Nick Bayley
Publication
Regulatory Focus – October 2018
by Ian Manson
Publication
Leveraging Sapin 2 Anti-Corruption Program and Effort, to Fight Corporate Fraud and to Protect Company's Value
by Hannah Rossiter
