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 Expert  728057

Expert in United Kingdom Financial Services Regulation and Compliance

Available for your Consulting and Expert Witness Needs

United Kingdom
Education Work History Career AccomplishmentsPublicationsConsulting Services Expert Witness Market Research

Summary of Expertise:

Listed with other top experts in: 

Expert has worked in the financial services sector (investment, pensions, life assurance, mortgages, mutual funds, securities etc.) for more than 40 years. He has been a director (or equivalent) of every organisation he has worked for since the age of 26 and he was one of the youngest ever individuals (at the age of 21) to be elected as a Fellow of The Chartered Insurance Institute. Expert has been invloved in most areas of financial services, including the provision of advice to corporations and individuals and investment management, but for the the latter part of his career he was involved in compliance consultancy for financial services organisations. He established the first specialist UK compliance consultancy for financial services businesses (Compliance Consultants Ltd., now part of Resources Global Professionals Inc) in 1987, since when he has completed hundreds of client audits and advised the UK regulatory authorities on various new rules. Expert was also the first Chairman of the Mortgage Code Compliance Board Disciplinary Committee. For the last 15 years he has been extensively involved in financial services expert witness work and mediation, handling disputes of up to £15m and with considerable court experience.

In addition to being a Fellow of The Chartered Insurance Institute, Expert also holds a Msc degree from The City University, London (Insurance and Risk Management), is a Diploma Holder of the Personal Finance Society and a Member of The Academy of Experts. He is also a qualified mediator.

Expert has written many articles for the financial services press (mainly on compliance issues), has written examination questions for The Chartered Insurance Institute and has spoken widely at public conferences.


alternative dispute resolution






expert witness


Financial Industry Regulatory Authority


financial malpractice


financial planning


governing authority




investment dispute


investment management


legal liability




mutual fund


pension fund




portfolio management


regulatory compliance auditing


securities mediation


suitability of investments

Show Secondary and Basic Areas of Expertise

Year   Degree   Subject   Institution  
1976   MSc   Insurance and Risk Management   The City University, London, UK  

Work History:
Years   Employer   Department   Title   Responsibilities

2006 to







Expert is currently engaged on his own account as a financial services consultant, mainly involved in expert witness report writing and mediation.

1987 to 2006


Compliance Consultants Limited





Expert established Compliance Consultants Ltd in 1987 and was involved in all areas of its activities, including compliance auditing, regulatory approvals, disciplinary representations before regulators, advising regulators on new rules. His clients were mainly insurance companies, financial advisers, banks etc.

1990 to 2005


Financial Investment & Advisory Services Ltd





Expert was involved on a part-time basis in providing investment, pensions and life assurance advice to individuals and corporate clients. In the latter years his role was restricted to chairing the board as other activities (e.g Compliance Consultants Ltd) took precedence.

1987 to 1990


CGA Financial Services Ltd



Deputy Managing Director


Expert was appointed Deputy Managing Director when CGA acquired his company Investment Planning Analysis & Management Ltd in 1987. He was mainly responsible for regulatory compliance throughout the group (12 UK offices) and for the merging of aquisitions.

1981 to 1987


Investment Planning Analysis and Management Ltd





Expert established IPAM and was involved in advising individual and corporate clients and managing investment funds as well as developing the company and preparing it for sale.

1978 to 1981


Co-operative Bank Insurance Services Ltd





Expert was responsible for developing the financial services business from scratch through a network of 65 bank branches.

1976 to 1978


Harrow College of Technology


Insurance Division




Expert established the Insurance Division within the College and developed its range of professional courses, as well as lecturing students on professional examination topics.

1969 to 1976


Eagle Star Insurance Group





Expert was mainly involved with the servicing of brokers in West London and with marketing life assurance and other financial services products direct to clients.

Career Accomplishments:

Expert is a Fellow of The Chartered Insurance Institute and a Member of The Academy of Experts.


Expert is a qualified mediator (by The Academy of Experts).

Professional Appointments

Expert was the first Chairman of the Disciplinary Committee of the Mortgage Code Compliance Board,and also sat on its appeals committees.


Expert was the runner-up in the 2006 awards for the individual who had contributed most to UK financial services compliance in the previous 20 years.

Publications and Patents Summary

Expert wrote in the region of 40 articles for professional publications, on compliance issues and related issues between 1976 and 2006.

Government Experience:
Years   Agency   Role   Description
1995 to 1997   Personal Investment Authority   Adviser   Advising on new rules for financial resources, broker fund management and penny share dealing.

Consulting Services:
Selected Consulting Examples:
  • Expert was part of a team that developed the process and reviewed the mis-selling of investments by a major bank which resulted in payment of some £150m in compensation.
  • Expert has controlled a number of due diligence audits involving the acquisition of one corporation by another.
  • Expert helped develop the regulatory and compliance structure, and wrote many of the procedure manuals for a new insurance company.
  • Expert has acted as the interface between a large group of small friendly societies and their regulator in implementing new training procedures.
  • Expert has acted as the interface between penny share dealers (a group representing nearly all regulated corporations in this sector) and their regulator in implementing new dealing rules.
Click the green button above to contact Expert for a free initial screening call regarding your expert consulting needs.  Expert is available for consulting to corporate, legal and government clients.  Remember, your initial screening call to speak with Expert is free.

Expert Witness:
Expert Witness Experience Summary:
Expert has been an expert witness since 1995. He has written in excess of 200 reports involving cases valued at a few tens of thousands of pounds to over £15m. He has wide experience of court appearances, including in the Royal Courts of Justice, London. He has also appeared at tribunals and, as a non-lawyer, has represented firms before disciplinary tribunals.
Recent Litigation Client Requests:
  • Financial services passporting compliance expert for consulting on Passporting rights.
Click the green button above to contact Expert for a free initial screening call regarding expert testimony, litigation consulting and support, forensic services, or any related expert witness services.  A few litigation needs include product liability, personal injury, economic loss, intellectual property (patent, trademark, trade secret, copyright), and insurance matters.  Remember, your initial screening call to speak with Expert is free.

Market Research:
Expert is one of very few financial services professionals in the UK who has a Masters Degree in a related subject (Insurance and Risk Management) and his FCII and Dip FPS qualifications are also highly regarded. In isolation, these are not major resources but they add considerable value to an already wide and impressively experienced background.

Click the green button above to contact Expert for a free initial screening call regarding your marketing research, industry research, and company research needs.  For research needs involving multiple experts or secondary research, a Research Director can be assigned to coordinate the work into a custom report for you as a potentially quicker and more cost effective alternative to doing this work yourself or hiring a boutique consultancy.  Remember, your initial screening call to speak with Expert is free.

Additional Skills and Services:

Expert developed and delivered many training courses on compliance issues, including money laundering, new regulations etc, whilst at Compliance Consultants Ltd. He also developed and delivered courses on behalf of The Chartered Insurance Institute and The Personal Finance Society.

Supplier and Vendor Location and Selection


Other Skills and Services

Expert is able to assess the key issues very quickly and advise whether there is any merit in continuing a particular course of action. This ability is praised by many of his clients and has saved substantial sums of money over the years. He is also capable of producing outstanding quality work to extremely tight deadlines when required.


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