FX Misconduct and Regulatory investigations
Kevin has 35 years of experience in Financial Markets activities. His core background has been in FX, spending 11 years at State Street Global Markets as their senior FX salesperson for institutional accounts and Managing Director of their Foreign Exchange Client Advisory business. Kevin also spent time in FX and Fixed Income Sales at Bank of Nova Scotia, ABN AMRO, CIBC and Lloyds Bank.
Kevin is also a well-known FX and fixed income ‘Commentator’ having worked at Thomson Reuters in 2009 and 2010 and has contributed articles and market commentary throughout his career.
Since 2013 Kevin has been active as a consultant utilizing his background and experience in such projects as:
- Examining trading and sales communications for patters and examples of misconduct, identification of possible violations, and preparation of written reports.
- LIBOR transition change management projects
- Designing and implementing a training curriculum to assist trading and sales staff in adjusting the current regulatory environment. This included written materials, group training, and testing. These modules were also shared with regulators.
- Supported a law firm in litigation in their review of the LIBOR interest rate benchmark manipulation
- Designing a FX training curriculum for a major financial institution for middle to senior level managers who lacked a FX and Capital markets background.
- Supported a major analytical study of potential regulatory violations by FX sales and trading desks at a major financial institution.
Kevin has deep markets expertise, and substantial experience in regulatory remediation work and is an excellent writer and presenter.
He has a B.A from the University of California and an M.A from The Johns Hopkins University.