Expertise
–Broker-dealer Custom and Practice
– Financial Services Risk Management
– Trading and Markets
– Market manipulation and disruptive trading
– Investment Management, due diligence, and disclosure practices
– The Duties and Responsibilities of Broker Dealers, Custodians, and Investment Advisors
–Regulatory compliance
–Fraud investigations
–Custody and Settlement
–Fiduciary Duties
–Trust management
Expertise
–Broker-dealer Custom and Practice
– Financial Services Risk Management
– Trading and Markets
– Market manipulation and disruptive trading
– Investment Management, due diligence, and disclosure practices
– The Duties and Responsibilities of Broker Dealers, Custodians, and Investment Advisors
–Regulatory compliance
–Fraud investigations
–Custody and Settlement
–Fiduciary Duties
–Trust management
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
Curriculum Vitae
