Iain Duke-Richardet



Iain is an industry thought leader and subject matter expert on global technology-related legal and regulatory issues, including social media. Iain was most recently the Head of Broker-Dealer Compliance Shared Services at RBC Capital Markets where he oversaw the firm’s Social Media, Licensing, Testing, Monitoring & Surveillance, Training, and Board Reporting compliance programs. Prior to RBC, Iain was a Director at Barclays Capital responsible for Electronic Communications Compliance.  Iain began developing his background in communications and technology compliance with Goldman Sachs. Iain is a member of the New York State Bar, received his LLM from The George Washington University Law School and his LLB in English & European law from the University of Leeds, UK.


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