Welcome to Moxie Rules, my new financial services regulatory consulting practice, specialising in MiFID II

What is Moxie Rules and why is it different?

Moxie Rules is a consultancy designed to help compliance, audit, risk, regulatory and supervisory colleagues get more out of their professional lives and save time, be that understanding the rules, cracking acronyms, finding the right trade association or wondering where to go for dinner on a business trip.

Here’s a sample of some of the good stuff you’ll find on this site:

  • Technical analysis
  • Tips for business trips
  • Reviews of films, books

Why work with me? (the quick pitch)

I’ve worked in regulation and compliance for almost two decades and on MiFID II during its years of incubation through to launch date, looking at it from several angles: that of an investment bank, developing detailed rules which underpin it at ESMA, and as a technical specialist on the FCA MiFID II readiness programme. That’s business, EU regulator & UK regulator experience wrapped up in one.

Why ‘Moxie Rules’?

Definition of Moxie: NOUN

  1. ENERGY, PEP – woke up full of moxie
  2. COURAGE, DETERMINATION, PLUCK – it takes moxie to climb Mount Everest
  3. KNOW-HOW – I was impressed with her/his financial moxie and hired her/him

And the “rules” bit? Well, there’s a lot of ’em in financial regulation and it takes a bit of determination, know-how and courage – in short, moxie – to get to grips with them.

Why MiFID II?

The financial world is a sprawling one: sellside and buyside, wholesale and retail, trading instruments and selling products, investment management and financial advice, exotic derivatives and vanilla shares, wealth management, research, clearing, supervisory powers…

MiFID II is a lens through which you can see the whole of this complex, dynamic, fascinating world and chart recent technological, political and financial trends.

Call it by any other name (than MiFID II), any country wanting to be a serious contender in finance needs rules on the many things MiFID II regulates. We call it MiFID II here in Europe (that’s 31 countries following it) but you’ll find its counterpart in other countries because some of the MiFID II rules spring from G20 commitments made following the 2007-8 financial crisis. And post Brexit? The UK will keep MiFID II or adopt a variation of its rules but it won’t dispense with it.

MiFID II rules don’t disappear or become irrelevant with time and place: they morph.

My bio

Experience:

I started my career at Deloitte as a regulatory consultant with past business reviews and s166 projects, principally in retail finance. I then spent five years at settlement specialist Euroclear, with stints in its Brussels and Paris offices before moving to JP Morgan’s Investment Bank for a couple of years.

Since 2013, I’ve worked for regulators with four years at the new European Securities and Markets Authority (ESMA) which was set up as one of the European Union’s measures to prevent another financial crisis, based in Paris, before returning to the UK at the start of 2017 to work on the UK’s Financial Conduct Authority (FCA) MiFID II programme.

Qualifications:

Master of Arts in English Literature & Language from Oxford University.

Regulatory Qualifications include the UK’s Investment Management Certificate (IMC), the Certified Anti-Money Laundering Specialist credential (ACAMs), Financial Planning Certificate (FPC), Mortgage A Qualification (MAQ).

Languages

English and French.

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Financial services regulatory consultancy, specialising in MiFID II: resources, training & tips

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