Katharine Leaman

Managing Director

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Katharine has worked in financial services for thirty years in regulation, insurance, distribution, and banking at ED level. Katharine has had responsibility for the European regulatory compliance function at a major international bank helping balance global standards with local obligations.

Katharine has expertise in technical areas of the rules such as Market Abuse, CASS, SMCR and Outsourcing. As well as issues that have a broader regulatory focus such as market conduct, non-financial misconduct, and conduct risk.

Katharine's career has been about tackling and resolving complex issues and challenges. These range from practical challenges such as how to evidence compliance with all applicable rules at all times, through to establishing global standards for protecting clients assets, to getting a successful outcome from a section 166, skilled person review.

 

As a regulator Katharine tackled issues such as the Professional Indemnity Insurance crisis of 2002/03, to raising standards of professionalism in the retail distribution sector, and developing the regulator's thematic review model and getting cases into enforcement.

Katharine is particularly skilled in navigating the regulator, the FCA, and knowing how to establish and get the most out of your regulatory relationship.