Iain Duke-Richardet

Principal Director, North America Regulatory & Compliance Practice, Finance and Risk

Iain previously served in various roles, including Head of Compliance Shared Services for a combined SEC registered broker-dealer and investment adviser. As a senior leader and industry thought leader for almost two decades, Iain has provided legal, regulatory and advice compliance expert on global technology-related legal and regulatory issues such as information management, books & records, software and product development, cybersecurity, SEC and FINRA regulation, GDPR, and electronic communications platforms. Iain holds an LLM from The George Washington University Law School and an LLB from the University of Leeds.

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