FSI Regulation Client Assets
Dennis is a Partner in our Banking and Capital Markets Audit and Assurance Practice in London, and he also leads the Payments practice for Assurance in the United Kingdom. His areas of specialism are the trading activities and back office operations of financial institutions and Client Assets operations of custodians, capital markets, investment firms and payment / e-money firms.
Dennis is one of the industry’s market leading experts in the FCA Client Assets rules where he has provided audit, assurance and advisory services to a wide range of businesses such as custody banks, prime brokers, broker-dealers, wealth and private banking, corporate trust and depositories, securities financing, listed derivatives houses, crowdfunding platforms, payment / e-money firms.
Dennis also has international experience working on other client assets regulatory regime in Ireland, Jersey, Japan, Singapore, Hong Kong, Dubai, and Australia.