Fiona Stockwell

Head of Legal and Compliance, ,

Biography

PROFESSIONAL:


Fiona read Archaeology and Anthropology at Durham University, graduating with a 2:1 (BA Jt. Hons) in 1983. She has worked in the financial sector since 1984, working for a number of investment houses. At GT Management PLC she specialised in establishing offshore funds and gained experience working in various overseas jurisdictions. Fiona then moved to Mercury Asset Management Limited (which later became Merrill Lynch Investment Managers Limited) where she initially provided legal and compliance support to the offshore funds business and then expanded her role to include, amongst other things, providing legal support for MLIM's institutional and private client businesses both in the UK and overseas. She assisted in the formation of MLIM's transition management team and subsequently became the Divisional Compliance Officer for MLIM's Alternative Investments Group. During her time at MLIM, she assisted in the establishment of Equitas, the vehicle created in 1996 to reinsure and run-off the 1992 and prior years' non-life liabilities of Names, or Underwriters, at Lloyd's of London. 


In 2007, she moved to Close Asset Management Limited where she was Director of Compliance for Private Clients, Funds and Institutional Business with both FCA and SEC regulated firms. The activities included the establishment, management, operation and distribution of collective investment schemes (offshore and onshore) and other products and services, including property (UK and European), funds of property funds, tax mitigation products and fund of hedge funds. On leaving Close, she moved to Broadstone Pensions & Investments Limited, a firm which, amongst other things, provided wealth management and planning services to private clients primarily based in the UK. Whilst at BPIL, she undertook 3 corporate restructurings, 3 corporate acquisitions and the sale of the wealth management business. She also was appointed Company Secretary for all the companies in the Broadstone Group. 


In 2016, Fiona set up her own compliance consultancy business which provides regulatory advice to various FCA and SEC regulated firms based in the UK, including MASECO since December 2017.


IN HER SPARE TIME...


Fiona is a keen gardener and supporter of the arts.  She is a patron of the Royal Shakespeare Company and enjoys ballet and opera. 


EDUCATION AND CREDENTIALS 


•    Bachelor of Arts in Archaeology and Anthropology, Durham University. 
 

Office address

Burleigh House
357 Strand
London
WC2R 0HS
United Kingdom

Open in maps