EXCHANGE AUDITS Exchange Audits provides high quality specialist audit compliance services that are competitively priced. Our auditors complete compliance audits worldwide, both Vendor and End-User audits for Global Data Providers, successfully offering solutions and recommendations to both auditees and exchanges. The team has been created with experienced audit professionals with many years of industry experience.
Sally Huxtable (Founder) has been in the financial markets for 31 years and over 16 years in auditing. In addition to our Exchange Audit service, we offer exchange vendor departmental consultancy services to Exchange Vendor Departments and we undertake Compliance Audits (such as Licensee Audit Questionnaires and Quote Meter audits- Audit Metering System reports required by HKEx, for example). Our headquarters is in Asia Pacific, with auditors based globally (Asia Pac, Japan, Singapore, China, USA and UK). Director Sally Huxtable has been in the financial market industry for over 31 years. Working as a banking industry sales & trader, a user of information, a data vendor employee, an exchange vendor manager and lastly as an audit specialist for over 16 years, being an FISD member for over 20 years. Sally has a BA (hons), Dip M, and was a Registered Rep of the LSE.
Laura Nicklin is a qualified Chartered Accountant. Laura graduated with a Bachelor in Accountancy from the University of Sheffield, before undertaking a senior managerial consultancy role for international firm, Coopers & Lybrand (now Price Waterhouse Coopers). Previous roles include senior manager in risk management and audit division of PwC until 1997 when she left to contract directly to financial services industry. Laura has had over 8 years audit experience working with Exchange Audits.
UK: Trish Gooch, senior auditor has over 20 years in Market Data management, analysis and administration, exchange/vendor compliance (UK based). Experienced in compliance audits in Equity, Fixed Income, Foreign Exchange, Corporate Finance, Broking, Fund Management, Power, and Oil & Gas. Trish had Management of client site audits and Trish has worked at Goldman Sachs, JPMorgan,Deutsche Bank and CSFB.
Asia Pac: Geeta Martin completed a honours degree in Accounting at the University of South Africa. Geeta worked within the audit and assurance function of PWC in Pretoria South Africa, before joining Prudential Group of America in London. In 2003 she joined a management buyout of a number of private equity funds, where she managed several financial institutional investors. Geeta has 18 years experience in the financial sector, and joined Exchange Audits in 2014.
USA: Colin Rudden has over 14 years in the finance industry. Previous roles include ADP market data division before it was acquired by Bridge Information Systems. After Bridge Colin moved to Tradeline.com, a historic stock pricing vendor that was acquired by Sungard. Colin has consulted with us since 2011.
HK/China based: Carmen Ho is a certified accountant of CPA, Australia and HKICPA, with a Bachelor of Business, Accounting Major and Finance Minor. Carmen has worked in the Market Data, Global Markets Division of HKEx Exchange for over 18 years, with her last position as Assistant Vice President. She has extensive experience and knowledge of the market data vending business and data usage having conducted many on-site inspections on market data users, vendors, and multi-national corporations located in Mainland China, Hong Kong, Taiwan, Singapore, Korea and Japan etc. Carmen has good command of Chinese and English languages, speaking both Mandarin and Cantonese, thus can easily audit and communicate with Market Data users and Information Vendors located in China and overseas.
UK: Jo Coulon is an experienced Auditor, having worked in the role over 17 years. Jo has a Law degree and previous roles include Company Director and Finance Director. Jo is head of Audit Administration based in UK
Katie Lagan Katie is our Admin Manager and has a Bachelor of Education, and a Diploma in Business Administration. Katie was previously with Laurie Millbank Stock Brokers (London), Shoreline Currencies Currency Brokers Sydney)and KPMG (Sydney)Chartered Accountants. With previous experience as a senior lecturer in Business Administration, Katie supports the Exchange Audits business systems.
Japan: Eddie is our Japan audit consultant, bi-lingual in Japanese and English with some French and Cantonese. Qualified as a CMA (Certified Member of the Analyst Association of Japan) and CFP (Certified Financial Planner), and registered member of FSA and JSDA Eddie has been in Equity trading for over 15 years and an exchange auditor for 3 years and is based in Japan/Hong Kong.
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