Mark Tubby
Head of Compliance
0207 600 1658
Formerly Director, Legal & Compliance at Credit Suisse First Boston and previously Head of Regulation of two UK Recognised Investment Exchanges and a Recognised Clearing House, Mark Tubby has seventeen years’ experience of UK and International Financial Services Regulation, preceded by seven years’ experience in international securities and derivatives.
Mr Tubby has gained various regulatory approvals from: UK Financial Services Authority, German BAWE/BAKRED, French COB/CMF, Swiss Federal Banking Commission, US SEC, Hong Kong SFC and the Australian Securities & Investments Commission, and in addition managed international co-operation projects with: Swiss Exchanges, Paris Bourse, Vienna Stock Exchange and NASDAQ.
Mr Tubby has served on various domestic and international regulatory bodies, including the US Inter-Market Surveillance Group, the Financial Fraud Information Network, various UK Financial Services Authority policy groups, including the Market Abuse Sub-Committee, the Market Conduct Group, EMU Steering Group, Transaction Monitoring Steering Group, International Regulators' Forum, Y2K Task-Force, and also spokesman at the HM Treasury Regulatory Familiarisation Programme for overseas regulators.
Mark Tubby is a member of the Global Association of Risk Professionals, the International Association of Financial Engineers, the UK Society of Investment Professionals, an Associate of the UK Securities and Investment Institute and a former member of the Royal Institute of International Affairs and the Centre for the Study of Financial Innovation.
|