Robert Quinn - FSA & SEC Regulatory Experts
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About US

Robert Quinn Consulting began in November 2007 as a commitment to excellent customer service and helping asset managers understand their regulatory obligations in the United States and the United Kingdom. We are proud to highlight our significant in-house and real world compliance experience – years of significant experience making the same decisions that you have to make. We are here to provide you with regulatory advice that is practical, efficient and commercial.

Our management team includes:

Robert Quinn

Robert Quinn FSA SEC
Robert Quinn is an award-winning consultant from IMS Consulting, one of the largest compliance consultancies in the UK, where he has reviewed the compliance programmes of a number of financial services firms of all sizes. He managed a team of consultants through the implementation of the Markets in Financial Instruments Directive ("MiFID") and the Internal Capital Adequacy Process ("ICAAP"). He specialises in helping fund managers understand both their FSA and SEC regulatory obligations. More recently Robert served as a market expert and adviser on a project which provided the FSA with a comprehensive insider dealing and market abuse detection system.

Robert is a U.S. attorney who has been in financial services since 1997. He began his regulatory career with Charles Schwab in San Francisco and has since provided bespoke compliance advice, in accordance with SEC and FINRA requirements, to a range of firms. These include investment banks, broker-dealers, investment advisers and a variety of asset managers. His comprehensive understanding of the industry allows him to focus on the regulation and potential conflicts of interest that apply specifically to fund managers and broker-dealers. He also has international experience providing advice on Canadian regulation as well as the implementation of Australia’s Financial Services Reform Act.

Robert understands that compliance and regulatory advice are primarily a customer service role. His focus is to provide practical solutions for the business whilst minimising regulatory risk. This approach requires your consultant to have significant in-house experience in order to understand your business. To enable the delivery of this approach to the market place, he founded Robert Quinn.


Nancy King


Nancy King FSA SECNancy King has over eight years financial services industry experience, with six of these years focused on regulatory compliance.

Nancy started her career at a major asset manager as Compliance and Money Laundering Reporting Officer where she managed FSA reviews and compliance monitoring. She later joined IMS Consulting in 2005, where advised a number of clients including hedge fund managers, fund of fund managers and private equity and venture capital managers.

More recently, Nancy worked as a specialist regulatory and compliance hedge fund consultant within one of the largest global prime brokerage house. She advised a number of fund managers representing diverse investment strategies. Her remit included managing the launch of new managers, identifying solutions for outsourcing compliance and advising on regulatory change and UCITS funds. She has also worked closely with fund managers to craft financing solutions within the appropriate regulatory framework.

Nancy joined Robert Quinn as Director in January 2009. Her unique experience brings a valuable commercial perspective and customer service ethos to understanding how an asset management business works in a regulated world.

Canary Wharf FSA SEC
 
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