Fiona is a Senior Associate within the Asset Management and Funds Market
Interventions Department at the FCA, having been a member of the department
for five years. Fiona supervises small asset management and alternatives firms
on a day-to-day basis and has developed more specific experience in relation to
principal and appointed representative business models. Fiona first joined the
FCA in 2016 as a supervisor in the Retail Investments Department.
Fiona recently led the FCA’s multi-firm review into the implementation of the
ESG Guiding Principles by authorised fund managers. The review considered
whether firms are complying with existing requirements relating to the design,
delivery and disclosure of ESG and sustainable funds. Fiona holds the CISI
Investment Management Certificate and is currently studying for the CBI Green
and Sustainable Finance Certificate.
Prior to joining the FCA, Fiona was an adjudicator at the Financial Ombudsman
Service specialising in general investment and interest rate hedging cases. This
followed earlier roles in the legal sector in commercial litigation and professional