Recent Consulting Engagements

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IOSCO Membership Achievement: Guided a securities regulator through the complete IOSCO MMoU application process, from initial gap analysis through successful negotiation. The jurisdiction achieved MMoU signatory status and was admitted as an IOSCO ordinary member.  

 

Digital Assets Regulatory Framework: Designed and drafted comprehensive Digital Assets Act for a developing jurisdiction, incorporating IOSCO standards on tokenization, OECD CRS and CARF tax transparency requirements, and technology-specific risk provisions. 

 

OTC Products Regulation: Developed regulatory framework for retail OTC leveraged products, drawing on EU MiFID requirements and IOSCO recommendations. Framework addresses product governance, disclosure, leverage limits, and cross-border distribution.  

 

National Professional Certification: Created financial literacy certification program for market professionals, modeled on U.S. FINRA Series 7 standards. Program includes curriculum development, examination design, and administration framework. Now operational as a national regulatory requirement.  

 

Supervisor Training Programs: Developed and delivered training curricula for supervisory staff across multiple jurisdictions, covering examination techniques, enforcement, international cooperation, and emerging areas including digital assets.  

 

International Representation: Represented client jurisdictions at IOSCO Growth and Emerging Markets Committee meetings, IMF consultations, and OECD proceedings.  

 

Regulatory Simplification: Designed and executed strategy to simplify regulatory framework for SMEs, supporting local capital formation while maintaining investor protection standards.

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Significant Career Achievements

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At Belize FSC: • Special counsel to the Director General and Deputy Chairperson of the Financial Services Commission.

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At U.S. Securities and Exchange Commission: • Represented SEC at IOSCO and Financial Stability Board • Chaired supervisory colleges for international information exchange • Negotiated multilateral regulatory cooperation agreements • Managed U.S. side of equivalence assessments by foreign authorities • Member, SEC Cyber Security Working Forum.  

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At London Stock Exchange Group: • Built compliance function from 5 to 20 staff across Americas, EMEA, and Asia • Advised CEO and Chair of FTSE Board on regulatory strategy • Executed Brexit licensing with ESMA, Dutch AFM, and Italian CONSOB • Implemented conduct monitoring program across US, UK, and EU operations • Senior member, Financial Crimes Determination Committee • Executive sponsor, first LGBTQ+ network in the Americas.

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At Moody’s Corporation: • Designed first regulatory risk assessment framework • Led regulatory strategy for Latin America (Brazil, Argentina, Mexico, Peru) • Cultivated relationships with securities and banking regulators across Americas and Europe.

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