Launched in May 2009, Complinet’s compliance iBriefing series is written by a panel of industry experts to analyze current key regulatory topics. Published monthly, the iBriefings will address a range of topics that impact the global financial services industry. Use these iBriefings to educate compliance staff, inform business lines and initiate dialogue with senior managers.
- Helen Camfield
- Martin Coyle
- Alex Davidson
- Garrett Dombrowski
- Peter Elstob
- Stacey English
- Stuart Gittleman
- Susannah Hammond
- Nathan Lynch
- Scott McCleskey
- Helen Parry
- Nick Paraskeva
- Lisa Roth
- Trond Vagen
- Alex Viall
- Joanne Wallen
- Brett Wolf
Helen Camfield
Helen Camfield joined the regulatory affairs team from Complinet’s events and conference division, where she was responsible for organizing many of Complinet’s regular events and seminars for compliance professionals. Helen has a history degree from the University of London and has seven years' experience in the financial services industry. She started her career with a management consultancy firm, producing risk management events for FTSE 100 firms. She moved into financial services publishing as an events manager for Centaur Media and latterly Informa. Helen is the Tracker content manager and is responsible for ensuring that the large and complex content sets and regulatory events, which comprise the Tracker product, are accurate and regularly reviewed. Helen is currently working towards achieving the Securities & Investment Institute Diploma in Investment Compliance.
Martin Coyle
Martin Coyle is AML and Financial Crime editor based in London. He reports daily on all aspects of financial crime as well as enforcement issues, both criminal and civil, in the UK and beyond. He joined Complinet in 2002 from Lafferty Publications where he was editor of The Accountant, the world's oldest accounting publication, and International Accounting Bulletin, a bi-monthly business journal. Both publications looked at the complex legal and commercial issues both accounting firms and employees face. Martin is a graduate of the University of Kent at Canterbury where he graduated in film studies and sociology. Prior to Lafferty he worked at VNU Business Publications on its Management Consultancy and Financial Director titles.
Alexander Davidson
Alexander Davidson has more than 20 years' experience as a financial journalist, editor and writer. Before joining Complinet in 2004, he was editor of the Re Report, a reinsurance publication, and covered equity capital markets for Thomson IFR. He has worked as a stock market reporter at Reuters and written widely for the national press. Davidson has published books on financial strategy, including, most recently, The Times newspapers titles: How the City Really Works and How to Understand the Financial Pages. He spent a year as a book reviewer for Financial World. He previously worked as an equities dealer for several City firms, and he was joint editor of an early morning newsletter for equities traders at ABN AMRO. He holds the Securities & Investment Institute Diploma and the IAB Diploma in Accounting and Advanced Book-keeping, and a BA (Hons) in English Literature and Philosophy.
Garrett Dombrowski
Garrett Dombrowski joined Complinet from Stifel Nicolaus. Garrett had been the Director of Compliance, and later Senior Counsel, at Ryan Beck which was acquired by Stifel Nicolaus. Garrett has his undergraduate degree from Rutgers and his law degree from Brooklyn Law School. Garrett has worked in a compliance or legal capacity, or in combined capacities, with other firms such as Merrill Lynch, Dillon Read and UBS. He has four securities industry licenses and has also served as an arbitrator for FINRA and the NFA. Garrett focuses on broker-dealer and investment adviser regulatory matters.
Peter Elstob
Peter Elstob is Securities, Banking and Commodities Editor. Peter held a number positions during 21 years at the Financial Times group, including The Banker and FT Business Information. In the 1990s he edited specialist FT publications such as Financial Regulation Report, International Banking Report, and Credit Ratings International. In 1999, he became a freelance editorial contractor, devising, commissioning and editing annual publications on behalf of the Futures and Options Association, the Securities & Investment Institute, the Federation of European Securities Exchanges, and the International Capital Market Association. He also edited publications for the London Metal Exchange, the International Petroleum Exchange, New York Mercantile Exchange, Nasdaq Europe, and Euroclear. He joined Complinet as a senior editor in 2006. Peter has a BA (hons) degree in anthropology and linguistics from the University of London.
Stacey English
Stacey English is head of the Regulatory Affairs team covering Europe, the Middle East and Asia Pacific. She joined Complinet from Barclays Bank where she was head of governance, reporting and intelligence. Stacey is a qualified accountant having gained the highest results worldwide. She has first class degrees in BSc (Hons) Applied Accounting and BA (Hons) Business Administration, holds the Financial Planning Certificate and has over 12 years' experience in the UK financial services industry. Stacey began her compliance career with six years at the regulator, first with the Personal Investment Authority and then the Financial Services Authority. Stacey was responsible for undertaking reviews into mis-selling, and as an internal auditor she assessed the adequacy and effectiveness of the FSA's processes and conduct. She moved into insurance where she focused on risk reporting and designing and embedding risk management processes and systems, as a senior manager in Aviva's group risk team and latterly with Lloyd's of London.
Stuart Gittleman
Stuart Gittleman reports on daily news and upcoming developments in regulatory compliance as it affects securities broker-dealers. He joined Complinet from the legal news publisher American Lawyer Media where he covered law, business and the business of practising law. Stuart has worked on corporate control campaigns for Carl Icahn, the American billionaire financier, and Harold Clark Simmons, the billionaire corporate raider, among others, and has represented government and private clients in New York tribunals. Regulatory affairs applies Stuart's insight to help firms leverage compliance to improve their business instead of just avoiding pitfalls.
Susannah Hammond
Susannah Hammond joined the regulatory affairs team from GE Capital Bank where she was head of compliance. Susannah has nearly 20 years' wide-ranging experience in international and UK financial services. A qualified chartered accountant, Susannah began her compliance career at SG Warburg where she became head of European compliance. She was the global head of compliance and a founding employee of Caspian Securities, a start-up international full service investment bank focused on the emerging markets. Susannah left Caspian to join PricewaterhouseCoopers as a consultant. More recently, Susannah was head of international regulatory risk for the Halifax Group and became head of retail regulatory risk for HBOS plc upon Halifax’s merger with Bank of Scotland.
Nathan Lynch
Nathan Lynch is the managing editor of Complinet's Asia-Pacific operations, which covers our offices in Sydney, Melbourne, Hong Kong and Singapore. Nathan joined Complinet's London office in 2000. He returned to Australia in 2002 and has reported on regulatory affairs, anti-money laundering and compliance developments across the Asia-Pacific region ever since. Nathan graduated from Australia's Curtin University with an Honours degree in journalism in 1998. Since then he has written for a number of high-profile regional publications, including the Sydney Morning Herald and The West Australian, and has appeared on Sky Business as a specialist commentator on financial markets and regulation
Scott McCleskey
Scott McCleskey is Managing Editor for Complinet’s North America region. In that capacity, he is responsible for the region’s news and analysis reporting, as well as the content of other Regulatory Insight products. Scott has nearly twenty years of compliance and regulatory experience with broker-dealers, exchanges, Self-Regulatory Organizations and other regulated entities, and has worked in New York, Washington, London and Brussels. He has served as global Chief Compliance Officer for a regulated firm and as Director of Public Regulatory Policy for a securities exchange, and has worked closely with high level regulatory officials throughout the world. Prior to entering the financial services industry, he was a Special Agent with the FBI. Scott’s publications include books and journal articles examining such topics as best execution, international market integration, and the practical impact of proposed changes to financial regulations. He holds a Master’s degree in International Relations from the University of Cambridge and a Master’s degree in Financial Regulation and Compliance Management from London Guildhall University, as well as a Bachelor’s degree in Government from the College of William and Mary.
Helen Parry
Before joining Complinet, Helen was a Reader in Law at London Metropolitan University where she was director of the Postgraduate Diploma in Financial Services Law. She was a specialist on the law Master's program in comparative US and UK law on financial regulation and financial crime, and on the undergraduate law degree where she taught a course on business crime. Helen currently contributes to the MA in Communications Management and takes classes in the law and regulation of financial communications. She was the editor and contributing author of the Sweet & Maxwell "Law and Regulation" series, which included the titles: law and regulation of futures trading; swaps and off-exchange derivatives trading; bond markets; hedge funds and exchanges and alternative trading systems. She was a regular contributor to financial regulation publications including Compliance Monitor. Helen was originally an academic criminologist who specialized in white-collar crime and has also worked with private sector investigatory agencies.
Nick Paraskeva
Nick Paraskeva is an independent consultant who provides Complinet with Regulatory content covering the United States. Nick’s previous role was at Citigroup in New York, where he was Senior Vice President with responsibility for identifying and reviewing new regulatory developments and assessing the impact of new and proposed rules. He has qualified as a chartered accountant with Touche Ross and has a BSc (Hons) degree in Economics and Politics from Bristol University. Nick has over 25 years' experience in the US and UK financial services industry. Nick began his compliance career with four years at the UK Securities and Futures Authority. Nick was Head of International Capital Policy, where he represented SFA in discussions of international harmonization of financial regulations. Previously, Nick was a Senior Policy Analyst in Financial Regulation, where he developed and interpreted the domestic financial rules, including liaison with the SFA Board and Capital Committee of senior industry practitioners. He moved into the financial services industry when he joined Salomon Brothers as Head of their European Regulatory Reporting Department, and then as Head of European Fixed Income Product Support before transferring to the New York office of Citigroup.
Lisa Roth
Lisa Roth is the Chief Executive Officer, Chief Compliance Officer and majority owner of Keystone Capital Corporation, a small San Diego-based broker dealer specializing in unique institutional and Gen Y investment strategies, a role she has filled since 2001. Ms. Roth is the founder and was Chairman and CEO of ComplianceMAX Financial Corporation, a regulatory compliance company later acquired by National Regulatory Services (NRS). Prior to founding ComplianceMAX Financial, Ms. Roth served in various executive capacities with Royal Alliance Associates, First Allied Securities and other brokerage and advisory firms. In 2007, Ms. Roth was appointed to FINRA’s Small Firm Advisory Board and is currently serving a three-year term. She has also been a member of the FINRA Board of Arbitrators for over 15 years and she is the most recent Past-Chairman of the National Association of Independent Broker/Dealers’ (NAIBD) Board of Directors. Through her long term role on the Board of NAIBD, she has presented the small and independent firm perspective to regulators on a wide range of topics. Ms. Roth currently holds Series 7, 24, 4, 53, 65, and 63 licenses. Ms. Roth graduated from Moravian College in Bethlehem, PA where she received her B.A and was the recipient of its history prize in 1990. She currently serves as Chairman of the Board of Responsibility, a non-profit organization that provides education to children living alongside municipal dumps in Tijuana, Mexico, and is the founder of “Los Buen Deportes”, an organization through which U.S. and Mexican teens engage in recreational soccer games and clinics.
Trond Vagen
Trond Vagen is Asia editor for Complinet in Hong Kong, where he has been based for the last three years. He joined Complinet in 2008 from Compliance Online and has more than eight years' experience in financial journalism, most of which has been spent covering compliance issues in the UK. He has also been a Hong Kong correspondent for The Deal and worked as a stock market reporter at Standard & Poor's in London for three years. He graduated in 2000 with a bachelor's degree in journalism from the California State University at Long Beach in the US. He speaks fluent Norwegian, Swedish and Danish. He has a diploma in investment compliance from the Securities & Investment Institute.
Alex Viall
Alex, a founder of Complinet, is Group Executive of Complinet Inc, the North American subsidiary of Complinet Group. In addition to his role as Group Executive of the US operation, Alex provides overall strategic direction to the development of Complinet’s North America business. As an ex-compliance officer and regulator, Alex provided the inspiration for the creation of Complinet. His original vision was for a service providing compliance officers with a much needed support infrastructure to help them do their jobs with confidence.
Joanne Wallen
Joanne Wallen is senior editor of Complinet's retail financial services news stream. Joanne covers all issues relevant to retail banks, mortgage providers, general insurers and intermediaries as well as a broad range of technology offerings for the compliance sector. She joined Complinet in 2006 from financial news publisher Citywire, where she had spent seven years as an equities specialist and then online editor. At Citywire Joanne was also registered as an investment adviser with the Financial Services Authority. Prior to this Joanne was a journalist and editor on IT daily Computergram and on Computing, then one of the UK's two major IT weekly magazines. Joanne has a BA (Hons) in French and Russian from Sheffield University.
Brett Wolf
Brett Wolf, an investigative journalist by training, has more than 10 years of experience covering law enforcement's efforts to combat financial crime. He has reported for several major metropolitan newspapers and global press services and worked as an analyst at a Miami-based counter-terrorism firm. Brett began focusing on the production of anti-money laundering/counter-terrorist financing news and analysis in 2003. He joined Complinet in 2006 and earned his AML certification from Florida International University and the Florida International Bankers Association in 2007.
Click here to view other related webcasts
Global Regulatory Enforcement: Trends, Lessons Learned and the Road Ahead
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- The Future of Credit Derivatives (July 2009)
- Short Selling, Insider Trading and Market Manipulation (September 2009)
- Supervision and Examinations (November 2009)
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