Expertise
–Broker-dealer Custom and Practice
– Financial Services Risk Management
– Trading and Markets
– Market manipulation and disruptive trading
– Due diligence, and disclosure practices
– The Duties and Responsibilities Investment Advisors
–Regulatory compliance
–Fraud investigations
–Custody and Settlement
–Fiduciary Duties and Suitability
–Trust management
(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
– The Duties and Responsibilities Investment Advisors
–Regulatory compliance
–Fraud investigations
–Custody and Settlement
–Fiduciary Duties and Suitability
–Trust management
(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
Curriculum Vitae
SER Voting Member
