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My practice specializes in helping firms, in a highly individualized basis, in meeting the obligations imposed under SEC, State and self regulatory rules and regulations. From a broad based experience as both a regulator, having served in a variety of senior positions at the Securities and Exchange Commission, and as a front line compliance professional serving as General Counsel, Chief Compliance Officer and Financial and Operational Principal for a Boston based investment banking firm, I bring a depth of experience in the day to day issues facing broker/dealers and investment advisers.
Some of the broad array of services offered to Firms, CEO’s and compliance and operational professionals include:
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Coordinating SEC/NASD examinations:
- Preparing for the exam
- Responding to inquiries
- Review (and participate) in Exit Interviews
- Draft response to Exit Interview letters
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Support for the Compliance Officer:
- Special projects
- Regulatory issues and questions
- Continuing updates on current trends
- Temporary Financial and Operational Principal services
- Continuing Education analysis and design
- AML annual Reviews
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Annual CEO certification reviews
Guidance for senior managers on an ad hoc basis and conducting internal reviews and investigations
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General Counsel services:
- Reviewing vendor contacts
- Employment Agreements
- Corporate Governance matters
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Please call to arrange a meeting to answer your questions and to see how your firm can augment its compliance efforts.
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