Director, Wealth Management
Experienced financial services and securities regulation attorney. Skilled in investigations; regulatory compliance; financial crimes; risk management; equity, debt and derivative securities; broker-dealers; due diligence requirements; enforcement actions; litigation; government relations; dispute resolution; and negotiation. Proven team leader and manager. Certified Regulatory and Compliance Professional (CRCP).
An annual conference highlight, this breakout session addresses current regulatory topics affecting the cross-border private client business. Featuring senior SEC and FINRA staff and leading brokerage industry counsel, both internal and external, the panel will discuss: The SEC’s proposed Regulation Best Interest and its impact on the cross-border private wealth business The significance of FINRA’s […]