Capital Requirements for Investment Firms - 13th Annual Forum is part of the Informa Connect Division of Informa PLC

This site is operated by a business or businesses owned by Informa PLC and all copyright resides with them. Informa PLC's registered office is 5 Howick Place, London SW1P 1WG. Registered in England and Wales. Number 3099067.

Informa

Anthony Ma
Associate Director and Head of Prudential Assurance for Financial Services at GRANT THORNTON

Profile

Anthony is a regulatory lawyer and business consultant. His practice areas lie in financial services regulations (FSRs) and enterprise risk management (ERM). In his present role, he leads a group of consultants to deliver prudential assurance services. In addition, he advises on all aspects of FSRs, with particular focus on prudential regimes, operational risk and resilience, governance and remuneration, and authorisations (licensing). He also sits in the Regulatory Law Committee of the City of London Law Society (CLLS) and is a Freeman of the City of London Solicitors’ Company.


He served with the Financial Conduct Authority (FCA) (and its predecessor Financial Services Authority) from 2010 to 2017, gaining experience in ring-fencing regime, banking supervision, prudential supervision of investment firms and complex regulatory transactions (including procedures for contentious matters). In the field of prudential regulation, he was the main author of the wind-down planning guide (WDPG) and played a key role in operationalising recovery and resolution regime in the FCA. Anthony worked in SREP assessments for several P1 and P2 FCA regulated firms, as a specialist in operational risk, recovery and resolution, and wind-down planning. In Grant Thornton, he has advised a range of FCA/PRA regulated firms on prudential rules (especially CRR) and coached senior executives to prepare for regulatory visits. He also supervised consultants to review ICAAP/ILAAP and regulatory returns.

Anthony Ma's Network

Agenda Sessions

  • Achieving Suitably ‘Plausible & Severe’ Stress Testing and Reverse Stress Testing and Demonstrating Use within Business Decision Making

    ,
  • Enhancing Wind-Down Planning for Financial and Operational Elements of Plans

    ,