Independent compliance consultancies for broker-dealers
Serve as an independent compliance consultant to retail and institutional broker-dealers, pursuant to SEC settlement agreements, to review and recommend changes to policies, procedures, and controls designed to prevent and detect violations of the securities laws concerning supervision, trading, surveillance, and customer protection.
CFTC enforcement action for futures brokerage and clearing firm
Prior to settlement with the Commodity Futures Trading Commission, review and make recommendations concerning internal operations and procedures related to the maintenance of customer funds.
Expert testimony for a broker-dealer
Provide written and oral testimony regarding obligations of market makers.
Expert testimony for a foreign financial institution
Provide written and oral testimony before European courts regarding due diligence requirements.
Expert testimony for professional services firms
Provide written and oral testimony at an SEC administrative proceeding regarding collateral consequences of potential sanctions.
Declaration for a U.S. public company
Provide declaration in SEC enforcement action regarding credit for cooperation and remediation and collateral consequences of potential sanctions.
Expert testimony for a U.S. public company
Provide written and oral testimony to the European Commission regarding U.S. securities laws.
Compliance review for a mutual fund complex
Serve as an independent compliance consultant to review compliance policies, procedures, and controls relating to marketing and sub-advisor due diligence.