Leading Experts in our Field

Cadogan Financial was originally founded in 1993 in England by Sally Buxton and Mark St Giles who had previously spent their careers as practitioners at a senior level either in financial sector businesses, or in asset management trade associations and financial market regulatory bodies. Our founders are both regarded as leading experts in their fields and continue to participate personally in all the firm’s projects, bringing in additional professional skills where needed.

Cadogan Financial is UK-based and owner-managed by its two directors. We are a highly specialised firm, focusing on development and regulation of capital markets in general but pre-eminent in particular in the development and regulation of asset management and institutional investors (pension funds, collective investment undertakings and life assurance) in emerging markets internationally. Our two directors are the authors of the standard textbook, ‘Managing Collective Investment Funds’, now in its fifth edition.

Our priority is always to transfer knowledge to our clients and those who participate in working groups or drafting teams, in order to develop their capacity and thereby maximise the potential for sustainability of the project.


Mark St Giles

About Mark St Giles

Mark St Giles spent most of his career as a broker, investment banker, insurance company executive, and asset manager. Latterly he was Chief Executive of an asset management business specialising in international investment and Chairman of a UK based investment fund company. He was the first Chairman of a self-regulatory organisation (‘FIMBRA’) in the UK under the Financial Services Act 1986, where he developed licensing and supervisory regime and surveillance systems; and subsequently a board member of LAUTRO, another self-regulatory organisation, responsible for marketing of life, pension and mutual fund products. He was also a Board Member of the Department of National Savings, then a department of HM Treasury and was Chairman of what is now the UK Investment Management Association (‘IMA’) and of its European equivalent, now the European Fund and Asset Management Association.

Since he co-founded his own consultancy business, Cadogan Financial, he has advised governments, securities commissions and private sector organisations on legislation, regulation and supervision of non-bank financial institutions and capital markets in more than 30 transition, emerging and developing countries in Asia, Africa, the former Soviet Union, Eastern Europe and Latin America. He acted as Chief Executive of the FIRST Initiative a multi-donor technical assistance facility designed predominantly to improve access to finance and relieve poverty; and was an adviser to Making Finance Work for Africa, a multi-donor initiative designed to connect donors with recipients.

He is an experienced speaker at international conferences and seminars; and an expert trainer developing and delivering knowledge based training to financial services professionals and regulators worldwide. He is co-author of the standard textbook on investment funds ‘Managing Collective Investment Funds’.

 
Sally Buxton

About Sally Buxton

Sally Buxton started her career in the institutional investor industry in 1982, working as a public information officer for what is now the Investment Management Association of the UK. Over the next decade she worked in developed markets with asset management companies and their service providers and trade associations to develop their businesses. From 1990 onwards she has worked with governments and regulators in emerging markets to develop both capital markets and institutional investors.

Her particular specialism is in institutional investors, asset management and financial advice. Accustomed to working on policy issues at the highest level, Sally is also a practical hands-on expert prepared to deal with every-day problems such as developing reporting formats, assessing licensing applications and issuing press releases. Sally has worked extensively in many developing capital markets varying in scale and development from Rwanda to China both to ‘kick start’ capital markets and to enhance the potential for development of existing markets.

Sally is experienced in reviewing capital markets development; developing regulatory governance structures, capacity and practices; advising on regionalisation strategy and implementation; advising on both compliance-based and risk-based supervision; drafting laws and regulations and related reporting requirements or reviewing investment fund legislation and proposing amendments or reform; writing regulatory procedures and manuals and licensing and reporting formats for non-bank financial institutions; training regulators in understanding capital markets and asset management and supervisory techniques and in use of supervisory manuals; training market participants in performing their functions and in understanding and complying with law and regulation; advising on public information policy, developing public information programmes and monitoring their implementation; leading project teams to deliver projects to schedule and within agreed budgets.

 
 
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