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Peter Brooke

Peter Brooke, Navigant
Office:
London, UK
Phone:
+44 (0)20 7015 8701
Contact:
E-mail
vCard

Peter Brooke is a Director in the Financial Services practice, and located in the London office.  He has spent more than 20 years in the financial services industry and brings to Navigant a diversified set of technical skills, a strong network and a proven track record.

Prior to joining Navigant, Peter had various legal and compliance roles in Barclays Bank and latterly was the Compliance Director for the Private Clients & International Division. Peter then became a Partner in Huntswood Regulatory Consulting where he specialised in advising large retail banks.

Articles by Peter Brooke

TCF is Back on the Agenda

Read Navigant’s response and guide to the FSA’s challenge to Non-Executive Directors (“NEDs”) to be more aware of their responsibilities to look forward and consider customer detriment from a Root Cause Analysis (“RCA”) perspective.

 Article / White Paper
Advantage - Banking UK Autumn 2009

 Newsletter
Firms to Face Increased Scrutiny as the FSA Expands its use of s166 Skilled Person Reports

The Financial Services Authority (FSA) recently enacted a small policy change, expanding its use of s166 skilled person reports. This could have a dramatic impact on financial services firms.

 News
Navigant Advantage: Apply to Comply - Regulatory Requirements are in the Spotlight

In this issue we explore the implications of divergent audit and legal opinions for CASS Client Money policies – Karen Bond asks Client Money - Who do you Trust, and invites you to our Client Money Matters workshop at the Navigant office next to the Guildhall, just prior to the nearby TISA Conference on Wednesday 16th November.

 Link
Advantage - Banking UK Winter 2010

 Newsletter
Advantage - Banking UK Summer 2010

 Newsletter
Advantage: Best Practices For Managing Regulatory Change, the Financial Crime Guide and Managing Complaints

In this issue Navigant provides a checklist for firms to use to ensure that they are ready to face the challenge of running ‘business as usual’ as the fast pace of regulatory change in the UK & Europe continues in to 2013. The authors also explore how firms can use the FSA's Financial Crime ‘Guide for Firms’ to prepare for regulatory visit, and discuss how firms can deliver high quality complaints handling for customers.

 Article

Education

  • BA(Hons) Law, University West of England

Industry Specialization

  • Financial Services

Functional Expertise

  • Regulatory Advisory
  • Risk Management and Internal Controls
  • Corporate Governance
  • Anti-Money Laundering