Compliance and Regulatory Consulting
Local and global compliance expertise for the financial services industry.Compliance and Regulatory Consulting
Simon Appleton joined Duff & Phelps in January 2015 from Kinetic Partners where he had worked since 2009. As a result of Duff & Phelps’ acquisition of Kinetic Partners, Duff & Phelps created a dedicated Compliance and Regulatory Consulting practice.
Simon is a director in the Regulatory Consulting team and has 31 years’ experience working for investment banks, brokers, regulatory bodies and investment exchanges, including spending 15 years at the FSA and its predecessor organizations. At Duff & Phelps, Simon is responsible for the Firm’s service offering covering trade and transaction reporting, market conduct and trade surveillance, having devised implementation plans and remedial solutions for investment banks, brokers, asset managers, wealth managers, regulated markets and MTFs.
Prior to joining Duff & Phelps, Simon worked as Head of Market Supervision for several years at a Regulated Market where his responsibilities included the real time monitoring of algorithmic and high-frequency trading, the maintenance of an orderly market and the detection of potential market manipulation and insider trading. Having previously worked for the FSA’s Transaction Monitoring Unit (TMU) for 13 years, Simon gained a detailed understanding of transaction reporting and detected, investigated and developed several significant market abuse cases.
Simon completed his time at the FSA by supervising the regulatory compliance of 55 authorized firms in the Corporate Finance and Venture Capital sectors.