Expertise
–Broker-dealer Custom and Practice
– Financial Services Risk Management
– Trading and Markets
– Market manipulation and disruptive trading
– Due diligence, and disclosure practices
– Investment Advisor
–Regulatory compliance
–Fraud investigations
–AI Policies and Procedures
–Supervisory Systems
–Custody and Settlement
–Fiduciary Duties and Suitability
–Trust management
–FINRA and SEC Rules
–Reg BI
(For search purposes, not intended to be a comprehensive list)
Expertise
–Broker-dealer Custom and Practice
– Financial Services Risk Management
– Trading and Markets
– Market manipulation and disruptive trading
– Due diligence, and disclosure practices
– Investment Advisor
–Regulatory compliance
–Fraud investigations
–AI Policies and Procedures
–Supervisory Systems
–Custody and Settlement
–Fiduciary Duties and Suitability
–Trust management
–FINRA and SEC Rules
–Reg BI
(For search purposes, not intended to be a comprehensive list)
Recent publications include:
Link to Article:
http://hr.cch.com/hld/Broker-Dealers-and-Financial-Services-Firms-Increased-Scrutiny-re-COVID-19_5-06-20202_final_locked.pdf
SER Voting Member
