Senior Associate, Duff & Phelps
Chris is a Senior Associate in Duff & Phelps Regulatory Consulting practice, with over 5 years experience in financial regulation. Prior to joining in 2020, Chris spent five years at the FCA where he worked in the Markets Reporting Team (MRT) focusing on the supervision of Approved Reporting Mechanisms (ARMs), Approved Publication Arrangements (APA) and MiFIR Transaction Reporting by Investment Firms and Trading Venues. Before that Chris worked on primary market transactions within the FCA’s United Kingdom Listing Authority (UKLA).
Within the Markets Reporting Team, Chris worked on the MiFID II implementation and the FCA FIRDS post-Brexit projects,. Chris also became a subject matter expert in regulatory reporting regimes under MiFID II such as pre and post trade transparency reporting, transaction reporting and instrument reference data and developed the transaction reporting rules engine which reviews the levels of completeness and accuracy of reports. Chris has advised firms on how to correctly report, monitored for transaction reporting errors and conducted thematic reviews of firms’ transaction reports