Adam Samuel is an attorney and barrister who has run his own financial services compliance consultancy for the last 17 years. He advises, trains and fixes problems and writes extensively about legislation, regulators’ rules and compliance developments. The BBC uses Adam as a compliance expert on TV and radio.
Adam has the UK CISI’s Diploma in Compliance (merit), and AFPC, MAQ, Cert ER from the Chartered Insurance Institute. He also won an Outstanding Graduate Student Prize for an LLM in US Banking Law in 1990.
In 2005, he wrote 'Consumer Complaints and Compensation', the only book on its subject and in 2010, the Hong Kong Securities Institute’s Guide to the SFC Code of Conduct for Intermediaries and the Sale of Investment Products. That year, he gave 12 seminars including 3 public ones for the Institute on this subject.
Adam also arbitrates commercial disputes. He chaired the Arbitration Sub-Committee of the Chartered Institute of Arbitrators from 2008-2012 and was a member of the Practice and Standards Committee (2004-2012) of which he is a fellow. He is a member of the WIPO and Hong Kong International Arbitration Centre Panels of Arbitrators and has decided well over 100 cases for these two organizations combined. In 1989, he wrote Jurisdictional Problems in International Commercial Arbitration, a book on the subject in the USA and Western Europe.
Adam resolved over 650 cases as an Insurance Ombudsman’s Assistant and the second PIA Ombudsman in the first half of the 1990s. He is the external member of the Institute of Financial Planning’s Ethics Committee. He re-drafted the Code of Ethics and Disciplinary Procedures and helps the Institute deal with disciplinary matters.
To find out more about Adam, have a look at www.adamsamuel.com.