Adam Samuel is a compliance consultant who has been trying to resolve the financial services industry’s problems through a combination of training, advising, writing and general persuasion since 1996.
The author of the only book on complaints in the UK (now in a second edition), Adam has worked for regulators and public bodies in five countries and three continents and delivered financial services compliance training in three European countries and Hong Kong. He is a lawyer by training but insists on being qualified as a financial and mortgage adviser as well as a compliance and financial crime specialist. Adam’s speciality is loud highly interactive sessions (on complaints handling, financial promotions, digital financial promotions, product governance, financial crime and suitability) using as many practical examples as he and the participants can find.
A graduate of both Oxford university and Boston University (masters in banking law), he is a member of the English and New York bars and is a holder of qualifications from CAMS, the CISI, CII on financial crime, compliance and mortgage advice.
AREAS OF EXPERTISE:
- Complaint handling and other dispute resolution
- Financial promotions and digital media issues generally
- Product governance
- Advice and suitability standards and requirements for non-advised transactions
- Financial crime including AML