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Hornsey - Company Secretary - London, UK

Nick Hornsey

London, UK

Services

Company Secretary

Summary:

Extensive UK and intermational company secretarial experience primarily in the financial services sector, including asset management. Qualifed lawyer.

Work History

Company Secretary and Consultant Lawyer

BANK OF MONTREAL (BMO)

From May 2007

Responsibility for company secretarial, board advisory and governance matters, and ad hoc legal issues for BMO European Capital Markets and Asset Management / Private Client entities, including BMO London branch (Bank), BMO Capital Markets Ltd (Broker Dealer), BMO UK Pension Co, Pyrford International Ltd, LGM Investments Limited (Asset Management/Private Client) and Irish legal entities (including Bank and UCITS). The role extends to:

Company Secretary
• Arranging, attending and minuting London and Dublin Board and London Management Committee meetings; obtaining and filing all appropriate resolutions, papers etc., as required, including all statutory and accounting requirements; reporting to senior executive management generally, in London, Dublin and Toronto
• Advising on and implementation of governance procedures and protocols, and their development; maintaining corporate authorities and books
• Advising on corporate restructuring, capitalisation, regulatory matters, including OSFI, EMEA, FCA / PRA, AML, CBI and UCIT regulation
• General pension advice in conjunction with pension company actuaries and in accordance with the Pension Regulator recommended good practice
• Ad hoc legal advice, including London lead on the acquisition of an investment management PLC, UCIT regulation, AML, pension, employment, and contract matters.
• Maintenance of corporate data on GEMS database.

Consultant/Lawyer

Self Employed

From July 2006

Providing legal services to a variety of private clients, including company secretarial, corporate finance, data protection, employment, licensing, estate planning and will drafting and probate services

Company Secretary and Consultant Lawyer

ERNST & YOUNG GLOBAL

March 2005 - June 2006

Responsibility for company secretarial and governance matters for EYG "Central" entities and member firms globally, SEC/PCAOB regulation, data protection, trade mark issues and ad hoc legal issues, including:

Company Secretary
• Corporate governance; global co-ordination of EYG member firms; development of global corporate database; entity rationalisation
• Arranging, attending and minuting Board and Global Executive Committee meetings, obtaining and filing all appropriate resolutions, papers etc. for EYG group companies, as required, including all statutory and accounting requirements; reporting to senior executive management generally
• Advising on and implementation of governance procedures and protocols; maintaining corporate authorities and books.
• Development and maintenance of EY Global Blueprint corporate database.

General corporate and commercial:

• Corporate/Commercial - contractual, governance and corporate authority issues; general advisory to support departments, Finance/Tax, Insurance, Regulatory

• IT/IP - software, licence etc. documentation negotiation

• Data Protection/Regulatory - policy development; SEC/PCAOB matters

Consultant / Lawyer

Self-employed

April 2004 - March 2005

Providing legal services to a variety of private clients, including company secretarial, corporate finance, data protection, employment, licensing, estate planning and will drafting and probate services

Company Secretary, Counsel and Vice President

CREDIT SUISSE

February 1988 - April 2004

Company Secretary
Responsibility for European companies' (Capital Markets and Asset Management business, ex Switzerland/Germany) corporate secretarial matters including:

Company Secretarial:
• Corporate restructuring including group acquisitions/disposals; maintaining and co-ordinating European corporate governance; global co-ordination; development of global corporate database; entity rationalisation
• Listing requirements and disclosure documentation
• Reporting to senior executive management
• Arranging, attending and minuting Board, Audit Committee and European Executive Committee meetings, obtaining and filing all appropriate resolutions, papers etc. for UK companies, as required, including all statutory and accounting requirements
• Ensuring governance procedures and protocols in place and observed; maintaining corporate authorities

General corporate and commercial:

• Corporate - contractual, governance and corporate authority issues
• IT/IP - software etc. documentation negotiation and systems implementation, including joint venture
• Treasury - borrowing/financing facilities, capital restructuring
• Commercial - general advisory to support departments, including HR and Office Services

Compliance and Regulatory:
• Data Protection Officer. General advisory.
• Interfacing between departments on regulatory/governance issues

Worldwide liaison, including:

• Zurich, Tokyo, New York, Hong Kong, Europe between legal departments of CSFB companie

Manager, Syndicate and Legal

Mitsubishi Finance International Limited

June 1987 - February 1988

Assistant/Assistant Compliance Officer

Manager, Capital Markets Documentation

DKB International Limited

September 1986 - June 1987

Manager, Capital Markets Documentation

Yamaichi International (Europe) Limited

October 1985 - September 1986

Manager, In-house Legal Department

Citibank Trust Ltd

February 1982 - October 1985

Self-employed

(Criminal Law locum) and travelling

Trainee Solicitor and legal assistant

Braby & Waller

March 1976 - April 1981

PERSONAL:
ADDRESS: Hampton, Middlesex

Qualifications & Certifications

College of Law

French

Université de Strasbourg

Royal Grammar School

Merchant Taylors School

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