Authorised and regulated by the UK’s FCA to provide investment accounts, we are bound by CASS rules to segregate and protect client assets.
Asif is responsible for all compliance-related aspects of Dolfin’s operations. He has more than 12 years’ of experience of compliance matters, operating in multi-jurisdictional asset management environments, dealing with both private and institutional clients, and advising senior executives. As the firm’s CF10, Asif regularly liaises with the Financial Conduct Authority on a number of significant regulatory issues, some of which have included the use of tied agents, appointed representatives, group consolidation, and variations in permissions.
Asif joined Dolfin in 2014 from Falcon Money Management, where he was an assistant compliance officer, primarily responsible for assisting the CCO/COO and regularly acting as his deputy, dealing directly with the Board and clients. Previously, he spent nearly six years as a compliance advisory analyst at Newton Investment Management, where he was responsible for reviewing UK financial promotions and advertising spanning the firm’s website, conferences, marketing collateral and client presentations. He was also responsible for providing an advisory service to Newton’s private client business.
In addition to a Bachelor of Commerce from the University of Toronto, Asif earned a Bachelor of Laws from the University of Birmingham, has completed the Legal Practice Course, and holds an Investment Advice Diploma from the CISI.