Mark Frith Email & Phone Number

London, Gb

London, United Kingdom

EMEA Head of Regulatory Change Advisory, covering the UK and EU regulatory change agenda - highlights include UK Wholesale Markets Review and EU MiFID Review, as well as FCA Consumer Duty / ESG regulations / cross-over into the Digital agenda. Advisory lead for the UK Swap Dealer and Security-Based Swap Dealer. Registered HSBC Bank plc as a Security-Based Swap Dealer with the SEC. Responsible for CFTC and SEC engagement in the UK, including filings and examinations.Head of Digital, covering digital assets & currencies as well as AI / Machine-Learning. Global IB Compliance lead for HSBC’s asset tokenisation platform, HSBC Orion.

London, United Kingdom

Business Manager on the HSBC UK Global Markets desk with Execution Mandate, covering FX Cash for the Ring-Fenced Bank retail and commercial customer base. Key responsibilities included ensuring the desk was risk-hedged, operated within limits, best execution monitoring, off-market rate checking, cancel & amend explain and profit & loss explain.Other experience included establishing a Global Markets near-shore presence for the COO function, securing office premises, conducting interviews, and embedding resource.

London, United Kingdom

Worked in Global Markets Compliance on the implementation of EU regulatory developments in the Global Markets business (pre-Brexit). Led on the MiFID II implementation from consultation to embedding (2014-18) as technical SME, representing HSBC in industry and to the FCA.Other projects led on included: EMIR; MAR; Volcker Rule; Dodd Frank Swaps and Security-Based Swaps reforms; extra-territorial G20 OTC derivative reforms incorporating trade reporting, mandatory clearing and margin for uncleared; PRIIPs; EU Benchmark Regulation; UK ring-fencing.

London, United Kingdom

Associate in the Project Finance team acting for banks and borrowers on major cross-border infrastructure transactions and associated derivative products.

London, United Kingdom

Solicitor in the Banking and Finance team acting for banks and borrowers on debt facility transactions.

London, United Kingdom

Trainee Solicitor in the corporate, commercial/IP, insurance and reinsurance litigation departments. Completed a client secondment to an NYSE-listed insurer during an FCA inspection and an international secondment to Dubai.

Fca Certification, Regulation And Derivatives, Pass (Pass / Fail)

Passed exams to become UK FCA certified.

Llb (Hons), Law, Good Pass

Ba (Hons), History, 2:1

Activities and Societies: President of the Junior Common Room; Student Representative on the University Residential.