Celyn Armstrong
Partner, Dentons
Celyn is a partner in the Regulatory, Trade and Investigations practice in London. Celyn advises banks, asset managers, insurers and other regulated firms on all aspects of contentious regulatory issues, including FCA/PRA enforcement investigations, section 166 skilled person reviews, internal investigations and remediation exercises. He also advises on non-contentious regulatory matters, including senior management and governance issues, financial markets regulation, conduct of business issues and the regulatory implications of Brexit. He spent seven years at the FSA/FCA, leading some of the regulator's most high-profile enforcement cases before leading the Enforcement Policy team. He has particular knowledge of the Senior Managers and Certification Regime (SMCR), having been a member of the joint PRA/FCA working group on the SMCR and having advised many institutions on their implementation projects since rejoining private practice. Celyn's views on issues such as the FCA's enforcement activities and the SMCR have been quoted in The Times, City AM, Thomson Reuters and Bloomberg.
Gerard Butler
Head of SMCR Office, BNP Paribas
Gerard Butler is the Head of the SMCR Office, BNP Paribas UK. Gerard joined BNPP in 2014 to lead, amongst other programmes, the implementation of SMCR within the CIB, from within the Compliance Department. More recently, the SMCR Office has been created and forms part of the Group’s Territory Management Office, and leads the SMCR Brexit transition for the CIB. Gerard has been a member of the AFME-UK Finance SMCR Working group since its inception. Previously, held positions at J.P. Morgan, the CBA, and was a supervisor for a number of years at the FSA.
Peter Ewing
Technical Specialist, Financial Conduct Authority
Peter started his career in the life insurance industry, first in IT and later moving to work as a project manager in marketing. He joined the FSA in 2009 and has had a number of specialist roles in regulation, including Treating Customers Fairly (TCF), culture and governance and accountability.
Jeffrey Mushens
Technical Policy Director, TISA
Jeffrey, having read History at Cambridge qualified as a Chartered Accountant with Coopers & Lybrand (now PwC). He then spent seven years in banking including posts as chief accountant of two merchant banks (HongKongBank and Samuel Montagu). He has spent 25 years in the funds industry, including 15 years at M&G, where he held a number of operational roles including Chief Trusts Accountant, setting up M&G's call centre, launching closed and open ended funds, public affairs spokesman, and responsibility for non-compliance relationships with regulators, HMRC and Government. He was a director of M&G and ran M&G's direct business.
Kate Mozzicarelli
Managing Director, Morgan Stanley
Kate Mozzicarelli is a Managing Director of Morgan Stanley and Head of the EMEA Corporate Advisory Group based in London. Kate joined the Firm in 2008 as Vice President in the Legal division covering Global Capital Markets and also acting as Secretary to the EMEA Franchise Committee from 2013 - 2014. She was named Executive Director in 2011. In 2014 she changed roles to establish a new advisory team within the Legal division and was named Managing Director in 2017. Previously, Kate worked for Ashurst, a UK law firm, from 1998 until 2008. Kate studied Modern & Renaissance History at the University of Warwick, UK and obtained her professional legal qualifications at the College of Law, UK.
Julie Pardy
Director of Regulation & Market Engagement, Worksmart
Julie has more than 30 years’ experience in Financial Services all of which has been gained within the Banking, Insurance and Advice/Wealth Sector. Julie has held senior roles across Sales, Compliance, Operations and Training & Competence and for the last third of her career has acted as a consultant to the industry. As a partner at the regulatory training & consultancy firm FSTP for over 4 years, Julie led on projects covering the Approved Persons Regime, Culture, Senior Management Responsibilities, Regulatory Interview Preparation, S166 Remediation Projects, Training & Competence, Conduct Risk and Treating Customers Fairly to name but a few. Having spent the last 3½ years at Worksmart, Julie has focused heavily on assisting organisations implement their responsibilities under the Senior Managers & Certification Regime. Julie undertakes work on SM&CR, Culture & Conduct and its application for a range of Trade Bodies in the UK such as UK Finance (formerly British Banking Association), The Investment Association, The Finance and Leasing Association and the Credit Services Association and historically has worked with their members in open settings and on in-house projects across this particular topic. Leading the regulatory & market engagement approach for Worksmart, Julie is focused on helping develop and deliver products that not only assist firms in meeting their regulatory obligations but also ensuring that they drive business benefits within the firms.