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David Marshall

 

David Marshall

Associate Director, UK Compliance at NIBC Bank NV, London

 

 

David brings over 25 years of experience in compliance and regulation to the panel. As a former regulator and consultant, he has hands-on experience of investigative and enforcement actions, including having led FSMA Section 166 review projects as a Skilled Person.

David managed a cross-border review and restructuring of anti-money laundering controls at a major US institution, and co-produced a report on fraudulent practices at a well-known broker dealer. He has also project managed and implemented remediation efforts at various banking, asset management and brokerage institutions, following regulatory fines and sanctions.

Short note on Compliance:

  • Compliance is an important part of good corporate governance. Relevant laws, regulations and professional standards in each of the markets in which it operates and protecting the integrity of the financial system.
  • Internal standards and values.
  • National and international regulations.
  • Risks involved in a customer relationship.
  • Due Diligence
  • Anti-Fraud, Bribery and Corruption
  • Conflicts of Interest
  • Data Protection

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