TISA Inclusive Investing Conference 2027

Lucy has worked at the FCA since 2008 across a variety of different roles. The majority of her career has been spent in Supervision, but she also has extensive experience of designing and implementing policy, having overseen the implementation of the Mortgage Market Review and the overhaul of the financial promotions rules for high-risk investments. She also spent a year in Authorisations, as Head of Department for dual-regulated firms. Currently, Lucy is the Director of Consumer Investments. This includes the Supervision of Advisers and Intermediaries, Wealth Managers, Self-invested personal pensions, Crowdfunders, Peer to peer and Platform Firms. Lucy is also responsible for overseeing the policing of the FCA’s perimeter for unauthorised business, ensuring the FCA intervenes assertively on misleading Financial Promotions.

Sophie leads TISA’s work on the Advice/Guidance Boundary Review, Disclosures, Financial Education, Financial Crime and TISA’s Inclusive Investing initiative. Before joining us, Sophie worked in Wholesale Markets Policy at the FCA, gaining experience in Primary and Secondary legislation, as well as FCA consultations. She has worked on Brexit and the LIBOR transition and was seconded to the Federal Reserve Bank of New York. Prior to that, she worked in M&A for a FTSE 100.