John Drabble

Background

About John Drabble

WHO I WORK WITH & TYPICAL WORK? Asset manager: “Please help us to update our policies and procedures to ensure we are compliant with SMCR.” Accounting software provider: “I need you to help me understand if I need to become registered as an account information service provider and if so, help me through that process.” E-money issuer: “Please advise us on our anti money laundering obligations and how we can apply these effectively through our policies and procedures.” Financial adviser: “Can you review our approach to assessing suitability and appropriateness to ensure it meets regulatory requirements and delivers good outcomes to our clients?” Broker-dealer: “Can you advise me on how to comply with MiFID 2 transaction reporting?” Challenger bank: “I need help with designing and implementing a product development process that will meet our obligations in respect of product governance.” VC investor: “We are investing in an early-stage fintech business, can you help us with regulatory due diligence?” P2P lender: “We want to extend our range of products and need you to help with varying our FCA permissions.” Insurance company: “Can you help us review our outsourcing policy for compliance with Solvency II?” WHAT MAKES ME DIFFERENT? Although I have a legal background, the majority of my career has been spent as a regulatory consultant or in senior in-house compliance roles with major financial services organisations. The range of clients and firms I have worked for means my experience encompasses most areas of the financial services industry and enables me to bring a balanced, pragmatic approach to compliance, ensuring my clients can address their compliance obligations and challenges in a way which complements their business model rather than becoming a burden. ABOUT ME: Golf, rugby, beer: sometimes all in one day – if I’m lucky!