William is a seasoned Consultant at Luach Limited, with over 20 years of experience advising top-tier Banks, Investment Managers, and FinTech financial services firms in the UK. His expertise lies in key regulation, compliance, and governance issues, including recent work with Crypto businesses. Currently serving as a CryptoAsset Exchange MLRO registered with the FCA (Financial Conduct Authority) and a Part-Time Compliance Consultant, William has a remarkable track record.
FCA Registration Success and Regulatory Expertise
William has successfully collaborated with the FCA to register Rubicon Digital as a UK FCA Registered Crypto firm in 2022, an achievement given that there are only 42 UK FCA registered crypto firms. His expertise doesn’t stop there; William is known for his market-leading knowledge in CASS (Client Assets Sourcebook) and Safeguarding, cultivated during a decade of advising a UK Global Bank and a prestigious 300-year-old London City Investment Manager on complex client asset and governance matters.
In recognition of his expertise, William has been invited to speak as a panelist on client asset governance and the safety of client money and assets, covering funds, traditional assets, and crypto assets in a prestigious event that took place in September 2023.
Comprehensive Compliance Services
William’s services extend beyond traditional compliance. He specializes in Board and ExCo (Executive Committee) advice and reporting, offering expertise in various areas such as Crypto Compliance, Training, AML (Anti-Money Laundering) Risk Management, Client Assets Compliance, Authorised Funds, Financial Promotions, Funds, Private Banking, Asset Management, Risk Frameworks, Asset Migrations, and leading cultural change in Governance.
Proven Track Record and Extensive Industry Experience
With substantial knowledge gained from working with industry giants like KPMG, Deloitte, Barclays, RBC Brewin Dolphin, ABN Amro Bank and AXA Investment Managers senior management, as well as a suite of smaller regulated firms, William brings a wealth of experience in client assets and compliance. His expertise spans asset management products, operational systems and controls, UCITs Funds, Governance, Regulatory Reporting accuracy, and Outsourcing oversight, particularly in the realm of Financial Services Compliance.
Tailored Solutions for Your Firm
No matter the size of your firm, William and his team are well-equipped to address your compliance needs. Their extensive compliance knowledge, coupled with a client-centric approach, ensures practical solutions to complex regulatory problems. These solutions benefit the firm, all stakeholders, and regulators alike, with a focus on putting the end customer at the heart of every compliance outcome. Get in touch today for a no obligation initial conversation!