A smart, monthly dissection for those in asset management and more broadly financial services, this series explores the issue of misconduct, giving listeners a better understanding of the rules and regulations - and the reputational fallout when things go wrong.
The series is an essential listen for those responsible for the safeguarding of business and brand; from compliance and corporate affairs to comms and marketing.
Specialising in asset and wealth management and capital markets, David currently works across a number of sectors covering wholesale banking, fund management, investor relations and private banking. David advises on reputation and corporate communication for boards and senior management teams of asset managers, private equity firms, hedge funds and banks.
He regularly addresses UK FCA and EU authorisation and compliance issues under UK law and EU directives, cross-border issues in the financial services sector, financial crime (including market abuse, money laundering, financial sanctions compliance and anti-bribery), regulatory capital requirements, regulatory reporting and disclosure obligations, formations and buyouts of financial services groups, data privacy, and structuring and marketing (financial promotions) of investment funds, crypto/digital assets and other financial products and securities. katten.com