Mark Trafeli, Non Executive Consultant

Kate Trafeli, Executive Consultant

 The firm’s consultants have more than 20 years’ experience in legal and compliance practice, with a qualified solicitor in England and Wales and an attorney member of the State Bars of New York and California on staff.

Our consultants have practised law both in house and in private practice. They have deep experience in the areas of financial services, gaming, securities regulation, corporate governance, regulatory compliance, insolvency, mergers and acquisitions, court actions and administrative proceedings, arbitration and dispute resolution and information technology.

We have constructed compliance departments from the ground up for regulated financial services firms.  We have also developed and implemented policies designed for worldwide application in various local offices for our clients in different countries while these policies are managed from a central location such as the United Kingdom.  

We have held a number of Financial Conduct Authority Controlled Function offices requiring pre-approval by the Financial Conduct Authority (FCA), including SMF16 (Compliance Oversight Function) and SMF17 (Money Laundering Reporting Function).