Financial Regulations


Assessing the impact of financial regulations on treasury activities, specifically:

  • Requirements of The Pensions Act 2004, The Pensions Regulator and the Pension Protection Fund (PPF) and their impact on the pensions levy, the role of pension fund trustees and on company pensions strategy
  • Fund managers’ control of credit risks and use of derivatives


Reviewed derivatives usage by a fund management group and instigated changes to meet best market practice. Advised how to meet fund management objectives within regulatory and legal constraints.

Headed the Corporate Risk Management practice of The Pensions Regulator (TPR), responsible for granting Clearance under s38 PA04. Reviewed risks in the relevant corporate finance transactions compared with the mitigation offered. Worked with all parties to facilitate appropriate resolution.

Managed TPRs Scheme Specific Funding practice’s review of valuations and recovery plans received under Part 3 PA04. Updated primary assessment and prioritisation of schemes for key business risk factors. Sought relevant changes to policies and guidance. Facilitation of agreement on key schemes.

Links to Clients

The Pensions Regulator
Regulation of work-based pension schemes

Threadneedle Asset Management
Fund management

Baring Asset Management
Fund management

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