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
By Jurisdiction
Regionally targeted assistance for asset managers in compliance program development, implementation and maintenance
By Jurisdiction
Insights
Publication
Regulatory Focus – December 2018
by Ian Manson
Publication
Guernsey Financial Services Commission Issues Revised AML/CFT Handbook
by Malin Nilsson
Publication
One-Year Countdown to SM&CR: Key Considerations for Firms
by Mark Turner
Publication
Do UK Regulators Have the Wrong Attitude to Whistleblowing?
by Mark Turner
Report
European Industry Market Multiples
Publication
Regulatory Watch – Asset Management Q3
by Hannah Rossiter
