Sebastien has worked on numerous s.166 / Skilled Person (or equivalent, outside of the UK) reviews covering a wide range of issues including: suitability of investment advice, financial crime, consumer credit, best execution requirements, data manipulation and assessing the fitness and propriety of controlled function holders. The scope of this work generally requires a deep-dive review of the firms’ governance and reporting arrangements, compliance and risk frameworks, systems and controls in order to provide recommendations on areas of weaknesses identified.
Sebastien’s other focus areas include Regulatory Due Diligence and Operational Due Diligence reviews, assisting a broad range of financial services firms globally to identify sources of potential regulatory risk (typically on behalf of potential investors). Sebastien has been heavily involved in transactions (buy and sell-side) involving TCSPs, Fund Administrators, ACDs, ManCos, Payment Services providers, Wealth Management, IFAs and others, providing comprehensive and commercially-minded advice on the impact of the regulatory risk profile of the target companies involved and any remediation activities required.
Prior to joining Kroll, Sebastien was an investments adjudicator at the Financial Ombudsman Service.
Sebastien’s qualifications include a Law LLB, Legal Practice Course, MSc Finance and Financial Law, and CISI Diploma in Regulation and Compliance.
