Roseanne Harford is an expert in U.S., U.K., and E.U. financial services regulation. At Patomak, she focuses on advising asset managers seeking to integrate their U.S. and U.K. compliance platforms. She also assists asset managers on U.S. regulatory compliance matters.
Ms. Harford has more than 25 years of experience in financial services regulation and compliance, serving in the public and private sectors.
Her public service work spans U.S., U.K., and E.U. roles. At the U.K. Financial Services Authority, she led an organization-wide effort to deliver more principles-based regulation and led policy work on best execution, trade aggregation and allocation, front running, and client classification.
Ms. Harford also served as rapporteur for the Experts Group advising the E.U. Committee of European Securities Regulators on Europe’s “MiFID” requirements for best execution, trade allocation, and front running.
Stateside, at the U.S. Securities and Exchange Commission, Ms. Harford served as senior counsel in the Division of Investment Management, focusing on regulatory policy for mutual funds, including use of derivatives, quantitative approaches to risk disclosure, codes of ethics, and issues surrounding distribution, including the use of 12b-1 fees and multiple class structures. In the private sector at UBS Paine Webber, she served as Senior Vice President and Director of Compliance for the asset management subsidiary, and before that, as Associate General Counsel. She began her career as an associate at White & Case in New York and Los Angeles.
Ms. Harford received an A.B. from Princeton University’s Woodrow Wilson School of Public and International Affairs and a J.D. from New York University School of Law.