Philip Chapman - Compliance Consultant

Philip joined Complyport in late summer 2006 from PLUS Markets Group where he was responsible for ensuring an orderly market in Ofex securities and identifying instances of potential market abuse. During this time he also assessed the suitability of companies looking to join Ofex, advised on the relevant rules and undertook continuous compliance monitoring.

Philip was previously at the FSA (between September 2001 and December 2005), most recently as a Senior Associate in the FSA's Market Conduct division and was required to advise regulated firms on the Code of Market Conduct, market abuse and connected areas. Philip was also employed as an expert resource on market abuse cases brought by the FSA's Enforcement Division, including a number of high-profile cases.

During Philip's tenure at the FSA, he also provided support to the markets division surveillance team on site visits to regulated firms and in market monitoring exercises. The FSA was preceded by technical roles, including systems and website design/appraisal.

Philip has a BA (Hons) in Business Management (mathematical major) and is studying for the IIMR Investment Management Certificate examination.

Philip's role at Complyport is in compliance support. He provides firms with regulatory guidance and advice during on-sight work, as well as desk-based monitoring. Predominately in the asset management sector, Philip is also an integral part of the 'proxy' Compliance Officer services provided by Complyport. He also provides a range of regulatory training solutions to firms, especially in the hedge fund space.

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