About K&E Consultants

Daniel Evans

Daniel Evans - Managing Director​

Daniel worked in the City as a banking and corporate lawyer for over 10 years. He moved from a senior associate role at Norton Rose LLP to take up the position of Group Head of Legal at SG Hambros Bank for 4 years. Daniel joined Goldman Sachs as an Executive Director responsible for leading the Regulatory Reform team for the Private Wealth Management division throughout the EMEA region.

Mobile: +44 (0)7718 920 399
daniel.evans@keconsult.co.uk

Daniel Evans

Richard Kerner​ - Managing Director

Richard held associate roles at Life and Pension Companies prior to joining the Financial Services Authority in 2001. During 6 years at the UK regulator, Richard held roles within the Prudential Policy and Supervision divisions before joining SG Hambros Bank Limited in 2007 becoming the Group Head of Compliance, AML and Financial Crime. In 2013 Richard joined Deutsche Bank to advise the Asset and Wealth Management divisions on regulatory developments.​

Mobile: +44 (0)7973 641 078
richard.kerner@keconsult.co.uk

James Doyle

James Doyle - Principal Consultant​

James has over 20 years’ experience as a regulatory compliance consultant and senior project manager across a wide range of banking, asset, investment management, and private wealth clients (including SG Hambros, Kleinwort Benson, Smith & Williamson, BNY Mellon, ABN Amro, Credit Suisse, Barclays). He is a Chartered Member of the Chartered Institute for Securities & Investment, with extensive experience of regulatory compliance, remediation and change management assignments, including: PRA/FCA Senior Managers & Certification Regime (SMCR); MiFID II; s166 Skilled Persons remediation for improving Corporate Governance, Risk Management and Conduct Risk frameworks.

Mobile: +44 (0)7977 417 757
james.doyle@keconsult.co.uk

Anthony Ropion

Anthony Ropion - Principal Consultant​

Anthony started his career over 20 years ago as corporate relationship manager for ABN Amro in Russia before taking on roles as head of corporate banking in China and senior banker in France. In 2007 Anthony moved into operational risk and established the operational risk management framework for ABN Amro's wholesale and private banking businesses in France (Banque de Neuflize). In 2011 Anthony joined HSBC as Executive Director responsible for establishing a business risk and control function for the group's market and reference data producers. In 2014, as head of data strategy compliance, Anthony advised HSBC's investment bank on data and risk management frameworks and strategy for BCBS 239 compliance.

Mobile: +44 (0)7498 081 056
anthony.ropion@keconsult.co.uk


Current and previous engagements

EU Directives and Regulation

K&E supports banks, asset managers and wealth managers in relation to implementing EU and UK regulatory requirements. K&E is currently providing SME and strategic support, project management and business analysis staff for three major EU regulatory initiatives (Markets in Financial Instruments Directive II (MiFID II), Packaged Retail and Insurance-based Investment Products (PRIIPs) and Insurance Distribution Directive (IDD)) for a major UK and Offshore private banking group.

K&E has successfully provided SME support and impact analysis assistance in relation to MiFID II and PRIIPs to a second leading private banking group. K&E provided a complete breakdown of the regulations and their impact on the group in addition to practical suggestions for solutions to bridge the gaps identified.

K&E has provided assistance to a leading UK Private Bank in developing its approach to implementing measures of the Market Abuse Directive and Regulation including advice on potential market abuse behaviours and monitoring processes.

Following a full gap analysis and implementation plan exercise, K&E is currently assisting a pension fund and pension administration company in its implementation of MiFID II.

BREXIT

K&E is currently assisting major EEA banking groups in preparing for life after Brexit.

We have been assisting a major EU bank's UK branch with its Brexit contingency planning by undertaking an analysis of the UK regulatory framework in order to understand what potential work would need to be done were (i) the passporting regime no longer applicable, and (ii) the branch to become fully subject to supervision by the PRA and FCA.

K&E can help develop a clear understanding of which UK regulatory requirements would be applicable to your business in the event EEA passporting rights are no longer available to you.

Compliance/Regulatory Risk Assessments

K&E used its Regulatory Assessment Tool to complete a regulatory risk assessment for a UK Wealth Manager, undertaking a comprehensive gap analysis against current UK regulatory requirements and providing assistance in developing a remediation plan.

K&E has assisted a UK firm’s Channel Island subsidiary with a risk assessment against Jersey and Guernsey regulatory requirements.

K&E carried out a detailed review of an investment firm's approach to Suitability.

K&E carried out a detailed review of a private bank’s approach to Suitability and AML/KYC.

REGULATORY AUTHORISATIONS

K&E has experience in helping various firms attain authorised status and can advise on an appropriate route for your business.

K&E is currently assisting a banking start-up in its application to the PRA to attain its banking license.

K&E is currently assisting a small private equity firm through to authorisation.