Two former regulators join the ACA Europe team in London

July 27, 2016
 

We are delighted to announce the addition of two more former regulators to the ACA team in London next month…
 
Andrew Petillon, Senior Principal Consultant
Andrew Petillon will relocate to London to help UK clients comply with the rules and obligations of the U.S. Securities and Exchange Commission (‘SEC’). Such support includes registration, on-going retained support, project management/delivery, mock SEC examination services and on-site support during SEC regulatory inspections.
 
Before joining our London team, Andrew worked in ACA’s Los Angeles office from 2013, conducting mock SEC audits and providing compliance support services to investment advisers and private fund managers.
  
Prior to joining ACA, Andrew served in multiple positions during his 25-year career with the SEC. He spent five years in the SEC’s Head Office in Washington, D.C., and the balance in the SEC’s Los Angeles Regional Office.  Most recent positions he held were Assistant Regional Director and co-head of Investment Adviser/Investment Company Examinations, where he supervised teams of examiners conducting SEC inspections of investment advisers and investment companies; and Associate Regional Director and co-head of Enforcement, where he supervised teams of attorneys and accountants conducting SEC enforcement investigations and litigation. He also taught classes on securities regulation at the Law School and Extension program for the University of California at Los Angeles (UCLA), and has been a speaker at industry conferences.
 
Andrew earned his law degree from Loyola Law School in Los Angeles, CA and his undergraduate degree from Pomona College in Claremont, CA.
 
Louis Ward, Consultant
Louis Ward joins ACA Europe direct from the Financial Conduct Authority (‘FCA’). Louis spent five years at the UK regulator, latterly as an Associate in Firm Supervision, where he participated in proactive and reactive supervisory work on all sizes of regulated firms, predominately those in the asset management sector.
 
Louis’s previous supervisory experience focused across the FCA Rulebook, specifically conflicts of interest, client assets, financial crime and governance systems and controls. Through thematic reviews, desk-based analysis and on-site at firms’ premises, Louis worked on identifying non-compliance or potential regulatory issues and utilised the FCA’s supervisory tools and escalation procedures to address them appropriately.
 
Additionally, Louis contributed to a number of internal FCA projects as a 'subject matter expert' for the Supervision department. These projects were designed to develop regulatory systems for Supervision and to improve reporting to senior management.
 
Louis earned his LLB (Hons) Law, 2.1 from the University of Essex, and undertook his Bar Vocational course through the University of Law.
 
 
We look forward to introducing Andrew and Louis to you in due course. In the meantime, please contact Ron WeekesAdam Palmer or your regular ACA consultant with any questions on this e-mail.