MidAmerica Nazarene University, Olathe, KS Business Administration

Save this PDF as:
 WORD  PNG  TXT  JPG

Size: px
Start display at page:

Download "MidAmerica Nazarene University, Olathe, KS Business Administration"

Transcription

1 Website: Education M.B.A. University of Missouri, Columbia, MO Finance B.A. MidAmerica Nazarene University, Olathe, KS Business Administration Experience CORE-CCO, LLC, Founding Principal U.S. Securities & Exchange Commission, Senior Officer, Associate Regional Director Examinations 2011-Present Royce & Associates, Chief Compliance Officer AIM/Invesco, Senior Compliance Officer American Century Investments, Assistant Director, Compliance U.S. Securities & Exchange Commission, Examiner Training Programs Conducted Abu Dhabi, United Arab Emirates, Securities Enforcement and Market Oversight Training Program Accra, Ghana, Africa Regional Market Development Conference: Towards Effective Regulation and Development of an Efficient Capital Market in Africa Bucharest, Romania, Capital Market Development, Enforcement and Oversight Training Program Washington, DC, International Institute for the Regulation and Inspection of Investment Advisers Conference San Salvador, El Salvador, Latin America and Caribbean Capital Market Development and Oversight Training Program Manila, Philippines, APEC Financial Regulators Training Initiative Seminar on Inspections of Market Intermediaries Rio de Janeiro, Brazil, Latin American and Caribbean Securities Enforcement & Market Oversight Training Program December, 2010 September, 2009 June, 2009 April, 2009 December, 2008 March, 2008 October, 2007 Speaking Engagements Southwest Securities Enforcement Conference Annual, Texas State Bar CLE Webcast June, 2011

2 Page 2 Austin, TX Compliance Officer Roundtable May, 2011 National Society of Compliance Professionals Annual Workshop April, 2011 SEC Chief Compliance Officer Outreach Programs Annual, Investment Adviser Association Annual Workshop Annual, FINRA Preventive Compliance Seminar August, 2008 NASAA/FINRA/SEC Joint Regulatory Training July, 2008 Kansas City, MO Bar Association Workshop March, 2008 NAIBD Securities Industry Summit Meeting February, 2008 National Regulatory Services Symposium September, 2007 Annual Southwestern CFO/COO Summit April, 2007 Hedge Fund Workshop October, 2006 Texas Venture Capital Association Annual Meeting March, 2006 s & White Papers Venture Capital Funds: Regulatory Requirements Post Dodd-Frank, Whitepaper Lessons from Recent SEC Enforcement Actions, Whitepaper Private Fund Registration Requirements & Exemptions, Regulatory Requirements for Registered Firms & Exempt Reporting Advisers, Understanding the IA Act and its Impact on Fund Managers Registration and Compliance after Dodd-Frank, Panel Private Fund Adviser Regulatory Developments, Hedge Fund Regulation, Lessons Learned from Madoff & Stanford, Subprime Crisis and Recent Financial Turmoil, Fallout from the Credit Crisis, Panel Regulatory Oversight Through Registration and Rulemaking, Broker-Dealer Compliance Procedures, Supervisory Programs and Rules of Conduct, Investment Adviser & Investment Company Compliance & Supervisory Standards, Supervisory Process for Broker-Dealers and Investment Advisers, Self Regulation: Compliance Supervision and Standards of Conduct, Compliance Institutions for Broker-Dealers and Investment Advisers, SEC Examination/Inspection Program,

3 Page 3 Regulatory Examinations of Broker-Dealers and Investment Advisers, Exams of Affiliated Entities, Panel The Role of Self-Regulatory Organizations, Oversight of Exchanges and Self-Regulatory Organizations, Money Laundering and the Securities Industry, Case Study: Examining Sales Practices/Trading Activity, Case Studies: Investment Adviser & Investment Company Examination/Inspection, Case Study: Misuse of Fund Assets, Case Study: Money Market Fund Sub-Prime Exposure, Case Study: Effectiveness of Anti-Money Laundering Compliance, Operational Risks and Controls for Investment Advisers, Panel s & Memberships SEC Office of Compliance Inspections & Examinations, Executive SEC Office of Compliance Inspections & Examinations, Technology Steering Chair SEC/NASAA Registrant Transition Working Group, Co-Chair Investment Company Institute, Securities Valuation Working Group Money Management Institute, Managed Account Standards National Society of Compliance Professionals Member Investment Company Institute, Advertising Compliance Advisory Selected Professional Development & Awards Strategic Leadership Program 18-month multi-course leadership program ACFE Investigative Interviewing Skills Training 2010 SEC Chairman s Award for Excellence Seniors Initiative Team 2007 SEC Chairman s Award for Excellence CCO Outreach Program 2006 SEC Supervisory Excellence Award 2006

4 Page 4 Experience As the Associate Regional Director in charge of the SEC s Fort Worth Regional Office Examination Program, oversaw examinations of investment companies, investment advisers, broker-dealers and transfer agents of all sizes and complexity as well as inspections and oversight of FINRA. During leadership of the FWRO Examination Program, integrated investment management and broker dealer exam programs to more effectively oversee increasingly integrated financial services industry, introduced innovative new risk assessment programs, increased examination productivity and effectiveness, and significantly increased collaboration with Enforcement Staff and other SEC Divisions and Offices. Enhanced collaboration resulted in marked increase in significant examination findings, enforcement and other regulatory referrals as well as in the percentage of FWRO enforcement cases resulting from examinations from approximately 10% to more than 30%. As member of SEC Office of Compliance Inspections & Examinations Leadership Team and Executive, conducted self-assessment of National Examination Program, including review and recommendations for improvements regarding strategy, structure, people, technology and training. Helped design new governance model and other structural program changes. Oversaw technology initiatives, including exam tracking and documentation system. Oversaw significant examination initiatives and sweeps including: o Stanford examinations and enforcement coordination leading to emergency enforcement action, involving coordination with court-appointed receiver and multiple other state securities regulators; o Emergency financial monitoring, in coordination with SEC Division of Trading & Markets and FINRA, of large international clearing broker-dealer with hundreds or correspondent brokers and millions of customer accounts; o Short-sale project in response to emergency order banning short selling in financials; o Hedge fund risk monitoring project; o Investment company performance fee sweep; o Business development company incentive compensation and fraudulent registration sweeps; o Oil and gas coordinated regulatory sweep with FINRA and state securities regulators; o Variable insurance product sales and insured principal sweeps; and o Senior free lunch seminar coordinated regulatory sweep with FINRA and state securities regulators

5 Page 5 Directed regulatory coordination efforts and periodic summit and other working meetings with multiple regulators, including Financial Industry Regulatory Authority (FINRA), Federal Reserve Bank, North American Securities Administrators Association (NASAA), Department of Labor Employee Benefit Security Administration, Texas State Securities Board, Texas Department of Insurance, Texas Department of Banking, Kansas Securities Commission, Kansas Department of Insurance, Oklahoma Securities Commission, Louisiana Securities Commission, and Arkansas Securities Commission. Conducted technical assistance training programs for multiple foreign securities regulators. Coordinated with SEC Office of International Affairs to host foreign regulators from the Securities Exchange Board of India (SEBI) in a collaborative investment company examination and training exercise. As Senior Compliance Officer at AIM/Invesco, hosted visiting regulator from China Securities Regulatory Commission (CSRC). As Compliance Officer for three national multi-billion dollar investment management companies, implemented and administered comprehensive large-scale compliance programs, covering all aspects of investment management, fund administration and marketing/ distribution operations. Interfaced with senior executives and business personnel at all levels and across all operations. Reported to and interacted with fund boards, regulators and outside legal counsel.

San Francisco, California WEDNESDAY, NOVEMBER 12, 2014 (All times Pacific Standard Time)

San Francisco, California WEDNESDAY, NOVEMBER 12, 2014 (All times Pacific Standard Time) 9:00 am 9:05 am Welcome and Introduction Presented by Mark D. Perlow and Richard M. Phillips Mr. Phillips concentrates his practice in securities regulation, particularly SEC enforcement, investment management

More information

COMPLIANCE BULLETIN 01-15 NEW PICTURE EFFECTS

COMPLIANCE BULLETIN 01-15 NEW PICTURE EFFECTS COMPLIANCE BULLETIN 01-15 NEW PICTURE EFFECTS A TALE OF TWO VERTICALS: The Differences Between Broker-Dealers and Investment Advisers I t was the best of times, it was the worst of times Well, that might

More information

JOBS Act/Crowdfunding. Alistair Johnson, Surveillance Director, FINRA, New Orleans District Office

JOBS Act/Crowdfunding. Alistair Johnson, Surveillance Director, FINRA, New Orleans District Office JOBS Act/Crowdfunding Alistair Johnson, Surveillance Director, FINRA, New Orleans District Office Alistair E. Johnson, Surveillance Director in FINRA s New Orleans District Office, manages regulatory coordinator

More information

Walter A. Kapuscinski

Walter A. Kapuscinski Walter A. Kapuscinski Accomplishment and Employment Biography PART ONE: SECURITIES INDUSTRY ADVISORY AND CONSULTING EXPERIENCE Over forty years of progressive administrative, compliance, options, trading

More information

Substantive Requirements for a Registered Investment Adviser under the U.S. Investment Advisers Act of 1940

Substantive Requirements for a Registered Investment Adviser under the U.S. Investment Advisers Act of 1940 Substantive Requirements for a Registered Investment Adviser under the U.S. Investment Advisers Act of 1940 Alternative investment fund managers and other investment advisory firms that are registered

More information

Frequently Asked Questions (Abbreviated)

Frequently Asked Questions (Abbreviated) e Frequently Asked Questions (Abbreviated) Member FINRA, SIPC 582 Market Street, Suite 300 San Francisco, CA 94104 (415) 692-0050 1 of 6 Background When and how do I need to be registered with FINRA? If

More information

Securities Registration: EB-5 Securities Transactions

Securities Registration: EB-5 Securities Transactions Securities Registration: EB-5 Securities Transactions Presented by: Brian Marks Managing Director brian@knopman.com, (212) 626-6899 Major U.S. Securities Regulations Securities Exchange Act of 1934 o Regulates

More information

The term mid-size advisor refers to a registered investment advisors with assets under management between $25 million and $100 million.

The term mid-size advisor refers to a registered investment advisors with assets under management between $25 million and $100 million. VIA ELECTRONIC MAIL Elizabeth M. Murphy Secretary Securities and Exchange Commission 100 F Street, NE Washington, DC 20549-1090 RE: File Number S7-36-10 Rules Implementing Amendments to the Investment

More information

Broker-Dealer and Investment Adviser Compliance Programs

Broker-Dealer and Investment Adviser Compliance Programs Lori A. Richards Principal, PricewaterhouseCoopers Financial Services Regulatory Practice Broker-Dealer and Investment Adviser Compliance Programs Regulatory Requirements, Common Minimum Elements, Other

More information

VERDE WEALTH GROUP, LLC

VERDE WEALTH GROUP, LLC VERDE WEALTH GROUP, LLC 2323 S. Shepherd Dr. Suite 845 Houston, TX 77019 www.verdewealthgroup.com This brochure provides information about the qualifications and business practices of Verde Wealth Group,

More information

Partner T F T F

Partner T F T F kit.addleman@haynesboone.com PRACTICES: SEC Enforcement, Internal Investigations and Crisis Management, Corporate Governance, Investment Management, Regulatory Compliance, Government Enforcement and Litigation,

More information

A Closer Look The Dodd-Frank Wall Street Reform and Consumer Protection Act

A Closer Look The Dodd-Frank Wall Street Reform and Consumer Protection Act A Closer Look The Dodd-Frank Wall Street Reform and Consumer Protection Act To view our other A Closer Look pieces on Dodd-Frank, please visit www.pwcregulatory.com The first in an ongoing series Impact

More information

Regulatory Practice Letter May 2013 RPL 13-10

Regulatory Practice Letter May 2013 RPL 13-10 Regulatory Practice Letter May 2013 RPL 13-10 Senior Designations for Financial Advisers- CFPB Report Executive Summary The Bureau of Consumer Financial Protection s (CFPB or Bureau) Office of Financial

More information

INVESTMENT ADVISERS. Requirements and Costs Associated with the Custody Rule. Report to Congressional Committees

INVESTMENT ADVISERS. Requirements and Costs Associated with the Custody Rule. Report to Congressional Committees United States Government Accountability Office Report to Congressional Committees July 2013 INVESTMENT ADVISERS Requirements and Costs Associated with the Custody Rule GAO-13-569 July 2013 INVESTMENT ADVISERS

More information

Regulatory Notice 14-50: FINRA Requests Comment on a Proposal to Establish Payto-Play

Regulatory Notice 14-50: FINRA Requests Comment on a Proposal to Establish Payto-Play VIA ELECTRONIC MAIL Marcia E. Asquith Office of the Corporate Secretary FINRA 1735 K Street, NW Washington, DC 20006-1506 Re: Regulatory Notice 14-50: FINRA Requests Comment on a Proposal to Establish

More information

Broker-Dealer Considerations: When Website Operators Should be Registered and a Discussion of the Sale of Securities over the Internet

Broker-Dealer Considerations: When Website Operators Should be Registered and a Discussion of the Sale of Securities over the Internet Broker-Dealer Considerations: When Website Operators Should be Registered and a Discussion of the Sale of Securities over the Internet April 19, 2012 2011 Morrison & Foerster LLP All Rights Reserved mofo.com

More information

Janet M. Angstadt Partner +1.312.902.5494 janet.angstadt@kattenlaw.com 525 West Monroe Street Chicago, IL 60661-3693 Practices Industries Education

Janet M. Angstadt Partner +1.312.902.5494 janet.angstadt@kattenlaw.com 525 West Monroe Street Chicago, IL 60661-3693 Practices Industries Education Janet M. Angstadt Partner +1.312.902.5494 janet.angstadt@kattenlaw.com 525 West Monroe Street Chicago, IL 60661-3693 Practices FOCUS: Financial Services Broker-Dealer Regulation Financial Services Regulatory

More information

ARTHUR SCHLOSSER. 5501 Monroe St Sylvania, OH 43560 419-841-5501. LPL Financial LLC. 75 State Street, 24th Floor Boston, MA 02109 800-558-7567

ARTHUR SCHLOSSER. 5501 Monroe St Sylvania, OH 43560 419-841-5501. LPL Financial LLC. 75 State Street, 24th Floor Boston, MA 02109 800-558-7567 ARTHUR SCHLOSSER 5501 Monroe St Sylvania, OH 43560 419-841-5501 LPL Financial LLC 75 State Street, 24th Floor Boston, MA 02109 800-558-7567 January 26, 2015 This brochure supplement provides information

More information

SEC Adopts Rules on Compliance Programs for Funds & Advisers

SEC Adopts Rules on Compliance Programs for Funds & Advisers Investment Management Group Legal Update: SEC Adopts Rules on Compliance Programs for Funds & Advisers If you have questions or would like additional information on the material presented herein, please

More information

GLOSSARY OF TERMS Advisory Affiliate: person persons controlling controlled employees employees advisory affiliates employees employees persons

GLOSSARY OF TERMS Advisory Affiliate: person persons controlling controlled employees employees advisory affiliates employees employees persons GLOSSARY OF TERMS 1. Advisory Affiliate: Your advisory affiliates are (1) all of your officers, partners, or directors (or any person performing similar functions); (2) all persons directly or indirectly

More information

MUNI ADVISOR RULE OVERVIEW

MUNI ADVISOR RULE OVERVIEW MUNI ADVISOR RULE OVERVIEW The Dodd-Frank Act charged the Municipal Securities Rulemaking Board ( MSRB ) with developing a regulatory framework for municipal advisors to help safeguard the interests of

More information

2900 McKinnon, Apt #1708 Dallas, TX 75201 800-829-7273 www.johnmauldin.com IARD#114323

2900 McKinnon, Apt #1708 Dallas, TX 75201 800-829-7273 www.johnmauldin.com IARD#114323 Part 2A of Form ADV: Firm Brochure Item 1 Cover Page 2900 McKinnon, Apt #1708 Dallas, TX 75201 800-829-7273 www.johnmauldin.com IARD#114323 This brochure provides information about the qualifications and

More information

Lockton Financial Advisors, LLC/ Lockton Investment Advisors, LLC

Lockton Financial Advisors, LLC/ Lockton Investment Advisors, LLC SAMUEL A. HENSON J.D., CEBS, RPA, GBA Senior ERISA Counsel shenson@lockton.com Lockton Financial Advisors, LLC/ Professional Profile Sam serves as Senior ERISA Counsel for Lockton Financial Advisors, LLC,

More information

Below is a summary of certain recent guidance from the Securities and Exchange

Below is a summary of certain recent guidance from the Securities and Exchange Skadden SEC Recent Developments April 3, 2013 Skadden, Arps, Slate, Meagher & Flom LLP & Affiliates If you have any questions regarding the matters discussed in this memorandum, please contact the following

More information

Meridian Financial Advisors, LLC. Brochure Supplement Dated 3/31/2011

Meridian Financial Advisors, LLC. Brochure Supplement Dated 3/31/2011 Item 1 Cover Page A. Kevin Collins Meridian Financial Advisors, LLC Brochure Supplement Dated 3/31/2011 B. Contact: Kevin Collins, Chief Compliance Officer 75 Essex Street, Suite 200 Hackensack, NJ 07601

More information

JENNIFER SHASKY CALVERY DIRECTOR FINANCIAL CRIMES ENFORCEMENT NETWORK ABA/ABA MONEY LAUNDERING ENFORCEMENT CONFERENCE NOVEMBER 16, 2015 WASHINGTON, DC

JENNIFER SHASKY CALVERY DIRECTOR FINANCIAL CRIMES ENFORCEMENT NETWORK ABA/ABA MONEY LAUNDERING ENFORCEMENT CONFERENCE NOVEMBER 16, 2015 WASHINGTON, DC JENNIFER SHASKY CALVERY DIRECTOR FINANCIAL CRIMES ENFORCEMENT NETWORK ABA/ABA MONEY LAUNDERING ENFORCEMENT CONFERENCE NOVEMBER 16, 2015 WASHINGTON, DC Good afternoon. Thank you to the American Bankers

More information

Running the Risk: Wisdom Gathered from our Compliance and Risk Verifications

Running the Risk: Wisdom Gathered from our Compliance and Risk Verifications Running the Risk: Wisdom Gathered from our Compliance and Risk Verifications Gary D. Davis, Jr. Vice President, Practice Management a MarketCounsel du jour Presentation April 26, 2012 fi360 National Conference

More information

Reforms To FINRA's Examination Program are Focused on Fraud Detection: What Does this Mean for Those Who are the Subject ofa FINRA Inquiry?

Reforms To FINRA's Examination Program are Focused on Fraud Detection: What Does this Mean for Those Who are the Subject ofa FINRA Inquiry? Reforms To FINRA's Examination Program are Focused on Fraud Detection: What Does this Mean for Those Who are the Subject ofa FINRA Inquiry? By Sylvia Scott Since the financial crisis, the Madoff and Stanford

More information

A Closer Look The Dodd-Frank Wall Street Reform and Consumer Protection Act

A Closer Look The Dodd-Frank Wall Street Reform and Consumer Protection Act A Closer Look The Dodd-Frank Wall Street Reform and Consumer Protection Act To view our other A Closer Look pieces on Dodd-Frank, please visit www.pwcregulatory.com The first in an ongoing series Impact

More information

Investment Advisors. Form ADV Part II. 265 Brookview Centre Way, Suite 504 Knoxville, TN 37919 865-583-7390. www.trustfirst.com

Investment Advisors. Form ADV Part II. 265 Brookview Centre Way, Suite 504 Knoxville, TN 37919 865-583-7390. www.trustfirst.com Investment Advisors Form ADV Part II 2015 265 Brookview Centre Way, Suite 504 Knoxville, TN 37919 865-583-7390 www.trustfirst.com Table of Contents Page 3 Page 3 Page 4 Page 4 Page 4 Page 4 Page 4 Page

More information

For private equity funds, compliance presents a clear and present danger

For private equity funds, compliance presents a clear and present danger For private equity funds, compliance presents a clear and present danger Prepared by: Matthew Reynolds, National Director of Financial Services Consulting, McGladrey LLP 312.634.5680, matt.reynolds@mcgladrey.com

More information

Paul N. Roth. Partner Investment Management Securities & Capital Markets Regulatory & Compliance Private Equity Mergers & Acquisitions

Paul N. Roth. Partner Investment Management Securities & Capital Markets Regulatory & Compliance Private Equity Mergers & Acquisitions Partner Investment Management Securities & Capital Markets Regulatory & Compliance Private Equity Mergers & Acquisitions 919 Third Avenue New York, New York 10022 +1 212.756.2450 paul.roth@srz.com Paul

More information

FSI BRIEFING April 5, 2010 Harmonizing the Regulation & Supervision of Broker-Dealers and Investment Advisers

FSI BRIEFING April 5, 2010 Harmonizing the Regulation & Supervision of Broker-Dealers and Investment Advisers FSI BRIEFING April 5, 2010 Harmonizing the Regulation & Supervision of Broker-Dealers and Investment Advisers Introduction On June 17, 2009, the Obama Administration released its plan for reforming the

More information

University of Missouri Kansas City, Kansas City, Missouri. Education Specialist in Higher Education Administration, 1994.

University of Missouri Kansas City, Kansas City, Missouri. Education Specialist in Higher Education Administration, 1994. MARY JONES MARYJONES@MNU.EDU EDUCATION: University of Missouri Kansas City, Kansas City, Missouri. Ph.D. in Educational Administration Higher Education, 1998. Dissertation: The Relationship between Selected

More information

Washington, D.C. WEDNESDAY, NOVEMBER 5, 2014 (All times Eastern Standard Time)

Washington, D.C. WEDNESDAY, NOVEMBER 5, 2014 (All times Eastern Standard Time) 9:30 am 9:45 am Welcome and Overview of Program Presented by Arthur C. Delibert Mr. Delibert, a partner in the Washington, D.C. office, represents and advises open- and closed-end investment companies,

More information

FinCEN Issues Notice of Proposed Rulemaking that Would Extend AML Requirements to Registered Investment Advisers

FinCEN Issues Notice of Proposed Rulemaking that Would Extend AML Requirements to Registered Investment Advisers FinCEN Issues Notice of Proposed Rulemaking that Would Extend AML Requirements to Registered Investment Advisers On August 25, 2015, the Financial Crimes Enforcement Network (FinCEN), a bureau of the US

More information

Virtual Asset Management Roundtable Series: SEC Examination Trends for Investment Advisers

Virtual Asset Management Roundtable Series: SEC Examination Trends for Investment Advisers Virtual Asset Management Roundtable Series: SEC Examination Trends for Investment Advisers April 10, 2014 Jennifer L. Klass Daniel R. Kleinman Richard F. Morris Christine M. Lombardo www.morganlewis.com

More information

Registration and Regulation of Investment Advisers. Presented by Chris Salter

Registration and Regulation of Investment Advisers. Presented by Chris Salter Registration and Regulation of Investment Advisers Presented by Chris Salter Investment Adviser Registration 2 Overview Registering with the SEC will have a significant impact on the business and operations

More information

Part 2A Brochure. Investus Financial Planning, Inc. 1765 Santa Ana Ave, U-202 Costa Mesa, CA 92627 949-645-1403

Part 2A Brochure. Investus Financial Planning, Inc. 1765 Santa Ana Ave, U-202 Costa Mesa, CA 92627 949-645-1403 Part 2A Brochure Investus Financial Planning, Inc. 1765 Santa Ana Ave, U-202 Costa Mesa, CA 92627 949-645-1403 This brochure provides information about the qualifications and business practices of Investus

More information

a GAO-05-313 GAO MUTUAL FUND TRADING ABUSES Lessons Can Be Learned from SEC Not Having Detected Violations at an Earlier Stage

a GAO-05-313 GAO MUTUAL FUND TRADING ABUSES Lessons Can Be Learned from SEC Not Having Detected Violations at an Earlier Stage GAO United States Government Accountability Office Report to the Committee on the Judiciary, House of Representatives April 2005 MUTUAL FUND TRADING ABUSES Lessons Can Be Learned from SEC Not Having Detected

More information

EXAMINATION PRIORITIES FOR 2015

EXAMINATION PRIORITIES FOR 2015 EXAMINATION PRIORITIES FOR 2015 I. Introduction This document identifies selected 2015 examination priorities of the Office of Compliance Inspections and Examinations ( OCIE, we or our ) of the Securities

More information

Changes to Broker-Dealer Reporting & Auditing Requirements

Changes to Broker-Dealer Reporting & Auditing Requirements Changes to Broker-Dealer Reporting & Auditing Requirements Reporting and auditing requirements for broker-dealers changed significantly starting June 1, 2014. These changes are the culmination of several

More information

SECURITIES EXPERT WITNESS & LITIGATION SUPPORT, LLC

SECURITIES EXPERT WITNESS & LITIGATION SUPPORT, LLC Curriculum Vitae Introduction Over 30 years of experience with securities, investments, and insurance at the financial advisor, supervisory, and managing principal level. Conducted over 1,000 presentations,

More information

New Investment Adviser Requirements of the Dodd-Frank Act: What CPAs Should Know

New Investment Adviser Requirements of the Dodd-Frank Act: What CPAs Should Know Page 1 of 5 Subscribe Join AICPA AICPA.org AICPA Store Open Advanced Search Home > January 2011 > New Investment Adviser Requirements of the Dodd-Frank Act: What CPAs Should Know ShareThis Print PERSONAL

More information

RICHARD MILLER. 6290 Lehman Dr, Ste 200 Colorado Springs, CO 80918 719-260-9200. LPL Financial LLC

RICHARD MILLER. 6290 Lehman Dr, Ste 200 Colorado Springs, CO 80918 719-260-9200. LPL Financial LLC RICHARD MILLER 6290 Lehman Dr, Ste 200 Colorado Springs, CO 80918 719-260-9200 LPL Financial LLC 75 State Street, 24th Floor Boston, MA 02109 800-558-7567 October 07, 2014 This brochure supplement provides

More information

Study on Investment Advisers and Broker-Dealers

Study on Investment Advisers and Broker-Dealers Study on Investment Advisers and Broker-Dealers As Required by Section 913 of the Dodd-Frank Wall Street Reform and Consumer Protection Act This is a Study of the Staff of the U.S. Securities and Exchange

More information

A Closer Look The Dodd-Frank Wall Street Reform and Consumer Protection Act

A Closer Look The Dodd-Frank Wall Street Reform and Consumer Protection Act A Closer Look The Dodd-Frank Wall Street Reform and Consumer Protection Act To view our other A Closer Look pieces on Dodd-Frank, please visit www.pwcregulatory.com Part of an ongoing series Impact On

More information

Regulation Crowdfunding

Regulation Crowdfunding November 4, 2013 Regulation Crowdfunding Recently, the Securities and Exchange Commission ( SEC ) voted 5-0 to approve the release of proposed Regulation Crowdfunding (the Proposed Rule ) under the JOBS

More information

Investment Advisers Act of 1940

Investment Advisers Act of 1940 Investment Advisers Act of 1940 Robert Bramnik August 2014 2014 Duane Morris LLP. All Rights Reserved. Duane Morris is a registered service mark of Duane Morris LLP. Duane Morris Firm and Affiliate Offices

More information

Are there any specific qualifications required for an individual to register as an IAR?

Are there any specific qualifications required for an individual to register as an IAR? INVESTMENT ADVISOR REGISTRATION FREQUENTLY ASKED QUESTONS Many people have questions about becoming an investment advisor and the process for registering and beginning one s own advising practice. These

More information

Broker-Dealer and Capital Raising Issues for Private Equity Funds September 24, 2014 Presented by: Jay G. Baris Hillel T. Cohn

Broker-Dealer and Capital Raising Issues for Private Equity Funds September 24, 2014 Presented by: Jay G. Baris Hillel T. Cohn Broker-Dealer and Capital Raising Issues for Private Equity Funds September 24, 2014 Presented by: Jay G. Baris Hillel T. Cohn 2014 Morrison & Foerster LLP All Rights Reserved mofo.com Statutory definition:

More information

CHRISTINA A. MONDRIK VOICE: (512) 542-9300 Mondrik & Associates FAX: (512) 542-9301 515 Congress Ave., Suite 1850 cmondrik@mondriklaw.

CHRISTINA A. MONDRIK VOICE: (512) 542-9300 Mondrik & Associates FAX: (512) 542-9301 515 Congress Ave., Suite 1850 cmondrik@mondriklaw. CHRISTINA A. MONDRIK VOICE: (512) 542-9300 Mondrik & Associates FAX: (512) 542-9301 515 Congress Ave., Suite 1850 cmondrik@mondriklaw.com Austin, Texas 78701 www.mondriklaw.com BIOGRAPHICAL INFORMATION

More information

I am submitting this statement on behalf of. Attorney General Robert Abrams, commenting on the subject of

I am submitting this statement on behalf of. Attorney General Robert Abrams, commenting on the subject of Statement submitted on behalf of Attorney General Robert Abrams by ~estes J. Sihaly Assls-shant Attorney General before N.Y.S. Senate Committee on Banking Senator Ralph Marino, Chairman August 26, 1986

More information

Sherrese M. Smith. Washington, D.C. Practice Areas. Admissions. Education. Partner, Corporate Department sherresesmith@paulhastings.

Sherrese M. Smith. Washington, D.C. Practice Areas. Admissions. Education. Partner, Corporate Department sherresesmith@paulhastings. Sherrese M. Smith Partner, Corporate Department sherresesmith@paulhastings.com Sherrese Smith is a partner in the Telecommunications, Media, and Technology (TMT) and Privacy and Cybersecurity practices

More information

Audit committee forum*

Audit committee forum* Ashok Bakhru Chairman of the Board Goldman Sachs Group of Mutual Funds Ashok Bakhru is President of ABN Associates, a management and financial consulting firm working with mid-size firms. Ashok served

More information

Managing Conflicts of Interest. Michael Malone, Examination Manager, FINRA, Dallas District Office

Managing Conflicts of Interest. Michael Malone, Examination Manager, FINRA, Dallas District Office Managing Conflicts of Interest Michael Malone, Examination Manager, FINRA, Dallas District Office Michael Malone is an examination manager in FINRA s Dallas District Office. He began his career with FINRA

More information

SEC Cybersecurity Findings May Establish De Facto Standard

SEC Cybersecurity Findings May Establish De Facto Standard Portfolio Media. Inc. 860 Broadway, 6th Floor New York, NY 10003 www.law360.com Phone: +1 646 783 7100 Fax: +1 646 783 7161 customerservice@law360.com SEC Cybersecurity Findings May Establish De Facto

More information

Regulatory Notice 15-10: Retrospective Rule Review Membership Application Rules

Regulatory Notice 15-10: Retrospective Rule Review Membership Application Rules Financial Services Institute 607 14th Street NW, Suite 750 Washington, D.C. 20005 888 373-1840 financialservices.org VIA ELECTRONIC MAIL Marcia E. Asquith Office of the Corporate Secretary FINRA 1735 K

More information

Dodd Frank: Investment Advisers and Pooled Investment Vehicles

Dodd Frank: Investment Advisers and Pooled Investment Vehicles Dodd Frank: Investment Advisers and Pooled Investment Vehicles Bridge Group May 13, 2011 Laurence V. Parker, Jr. Background Investment Advisers Act traditionally regulated money managers managing investments

More information

The State Of Unregistered Intermediary Regulation

The State Of Unregistered Intermediary Regulation Portfolio Media. Inc. 648 Broadway, Suite 200 New York, NY 10012 www.law360.com Phone: +1 212 537 6331 Fax: +1 212 537 6371 customerservice@portfoliomedia.com The State Of Unregistered Intermediary Regulation

More information

Partner, Corporate Practice Co-Administrator Bank of America Plaza 101 E. Kennedy Boulevard Suite 2800 Tampa, FL 33602

Partner, Corporate Practice Co-Administrator Bank of America Plaza 101 E. Kennedy Boulevard Suite 2800 Tampa, FL 33602 Gregory C. Yadley Partner, Corporate Practice Co-Administrator Bank of America Plaza 101 E. Kennedy Boulevard Suite 2800 Tampa, FL 33602 Direct 813.227.2238 Mobile 813.227.2238 Fax 813.229.1660 gyadley@slk-law.com

More information

Launching a HEDGE FUND in 2015: KEY STRUCTURAL AND OPERATIONAL ISSUES

Launching a HEDGE FUND in 2015: KEY STRUCTURAL AND OPERATIONAL ISSUES Launching a HEDGE FUND in 2015: KEY STRUCTURAL AND OPERATIONAL ISSUES FUND FORMATION SERVICES What sort of legal structure should be used? Most domestic hedge funds are organized as limited partnerships

More information

STATEMENT FOR THE RECORD

STATEMENT FOR THE RECORD STATEMENT FOR THE RECORD On The U.S. House Committee on Financial Services, Subcommittee on Capital Markets and Government Sponsored Enterprises Securities Investor Protection Corporation: Past, Present,

More information

GAO LIFE INSURANCE SETTLEMENTS. Regulatory Inconsistencies May Pose a Number of Challenges. Report to the Special Committee on Aging, U.S.

GAO LIFE INSURANCE SETTLEMENTS. Regulatory Inconsistencies May Pose a Number of Challenges. Report to the Special Committee on Aging, U.S. GAO United States Government Accountability Office Report to the Special Committee on Aging, U.S. Senate July 2010 LIFE INSURANCE SETTLEMENTS Regulatory Inconsistencies May Pose a Number of Challenges

More information

What is an Investment Adviser?

What is an Investment Adviser? What is an Investment Adviser? Legal Definition. Investment adviser is a legal term that appears in the Investment Advisers Act of 1940, the federal law that governs investment advisers. Generally, this

More information

Municipal Securities 2:00 p.m. 3:15 p.m.

Municipal Securities 2:00 p.m. 3:15 p.m. Municipal Securities 2:00 p.m. 3:15 p.m. This session addresses regulatory developments with respect to both municipal securities broker-dealers and municipal advisors, including new, amended and proposed

More information

Education and Outreach Seminar. July 29, 2014 Chicago, IL

Education and Outreach Seminar. July 29, 2014 Chicago, IL Education and Outreach Seminar July 29, 2014 Chicago, IL About the MSRB A self-regulatory organization created by Congress in 1975 Protects investors, municipal entities including issuers of municipal

More information

THE SEC S NEW DODD-FRANK ADVISERS ACT RULEMAKING: AN ANALYSIS OF THE SEC S IMPLEMENTATION OF TITLE IV OF THE DODD-FRANK ACT

THE SEC S NEW DODD-FRANK ADVISERS ACT RULEMAKING: AN ANALYSIS OF THE SEC S IMPLEMENTATION OF TITLE IV OF THE DODD-FRANK ACT THE SEC S NEW DODD-FRANK ADVISERS ACT RULEMAKING: AN ANALYSIS OF THE SEC S IMPLEMENTATION OF TITLE IV OF THE DODD-FRANK ACT Kenneth W. Muller, Jay G. Baris and Seth Chertok* The Investment Advisers Act

More information

BROKER/DEALER REGISTRATION OF HEDGE FUND THIRD PARTY MARKETERS: THE ISSUES

BROKER/DEALER REGISTRATION OF HEDGE FUND THIRD PARTY MARKETERS: THE ISSUES BROKER/DEALER REGISTRATION OF HEDGE FUND THIRD PARTY MARKETERS: THE ISSUES This article discusses Broker-Dealer (BD) registration of Third Party Marketers (TPMs) or those who engage in the raising of capital

More information

Pay-to-Play, Lobbying, and Ethics

Pay-to-Play, Lobbying, and Ethics Skadden, Arps, Slate, Meagher & Flom LLP January 18, 2012 Pay-to-Play, Lobbying, and Ethics Institutional Investor Institute by Ki P. Hong khong@skadden.com Advisers to Mutual Funds Recordkeeping Effective

More information

BEST PRACTICES: FOLLOW THE LEADER DUE DILIGENCE PRIMER: REGISTERED INVESTMENT ADVISERS AND BROKER-DEALERS

BEST PRACTICES: FOLLOW THE LEADER DUE DILIGENCE PRIMER: REGISTERED INVESTMENT ADVISERS AND BROKER-DEALERS BEST PRACTICES: FOLLOW THE LEADER DUE DILIGENCE PRIMER: REGISTERED INVESTMENT ADVISERS Even though an investment adviser or a broker-dealer may be registered at the state or federal level, active registration

More information

Approved Committees for 2007 Functions, Responsibilities, and Qualifications

Approved Committees for 2007 Functions, Responsibilities, and Qualifications Approved Committees for 2007 Functions, Responsibilities, and Qualifications COMMITTEES AND STEERING COMMITTEES Accounting Committee Functions and Responsibilities: To consider and make policy recommendations

More information

Objectives and Principles of Securities Regulation

Objectives and Principles of Securities Regulation Objectives and Principles of Securities Regulation International Organization of Securities Commissions June 2010 CONTENTS Page Foreword and Executive Summary 3 A Principles Relating to the Regulator 4

More information

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 DIVISION OF TRADING AND MARKETS December 3,2007 Tanya Perez President eemployers Solutions, Inc. 1221 1 Huebner Road San Antonio,

More information

HOW TO REGISTER AS A CALIFORNIA REGISTERED INVESTMENT ADVISER

HOW TO REGISTER AS A CALIFORNIA REGISTERED INVESTMENT ADVISER HOW TO REGISTER AS A CALIFORNIA REGISTERED INVESTMENT ADVISER California Department of Business Oversight 1515 K Street, Suite 200 Sacramento, CA 95814 916-322-6270 Steps to Register Step 1: IARD System

More information

ADVI Advisors, LLC 1050 K Street, NW Suite 340 Washington, DC 20001 Tel 202.509.0761. This brochure was last updated on March 18, 2014

ADVI Advisors, LLC 1050 K Street, NW Suite 340 Washington, DC 20001 Tel 202.509.0761. This brochure was last updated on March 18, 2014 ADVI Advisors, LLC 1050 K Street, NW Suite 340 Washington, DC 20001 Tel 202.509.0761 This brochure was last updated on March 18, 2014 This brochure provides information about the investment advisory qualifications

More information

Item 1 Cover Page. Berthel Fisher & Company Financial Services, Inc. 701 Tama St., Bldg. B Marion, IA 52302 (319) 447-5700 www.berthel.

Item 1 Cover Page. Berthel Fisher & Company Financial Services, Inc. 701 Tama St., Bldg. B Marion, IA 52302 (319) 447-5700 www.berthel. Item 1 Cover Page Berthel Fisher & Company Financial Services, Inc. 701 Tama St., Bldg. B Marion, IA 52302 (319) 447-5700 www.berthel.com Form ADV Part 2B Individual Disclosure Brochure For Bruce A Derks

More information

Boston, Massachusetts TUESDAY, DECEMBER 9, 2014

Boston, Massachusetts TUESDAY, DECEMBER 9, 2014 ADVANCED TOPICS IN INVESTMENT MANAGEMENT 9:00 am 9:05 am Welcome and Introduction Presented by Michael S. Caccese Mr. Caccese is one of three Practice Area Leaders of K&L Gates Financial Services practice,

More information

ADVISORY Investment Management

ADVISORY Investment Management ADVISORY Investment Management FINANCIAL SERVICES REGULATORY REFORM LEGISLATION REGISTRATION OF ADVISERS TO PRIVATE INVESTMENT FUNDS March 16, 2010 On December 11, 2009, the U.S. House of Representatives

More information

December 15, 2014. FINRA Notice 14-50 Relating to Proposed Pay to Play Rules. Dear Ms. Asquith:

December 15, 2014. FINRA Notice 14-50 Relating to Proposed Pay to Play Rules. Dear Ms. Asquith: Marcia E. Asquith Office of the Corporate Secretary Financial Industry Regulatory Authority 1735 K Street NW Washington, DC 20006-1506 Re: FINRA Notice 14-50 Relating to Proposed Pay to Play Rules Dear

More information

SPOTLIGHT ON. Registration Requirements and Filings for Investment Advisors and Their Employees

SPOTLIGHT ON. Registration Requirements and Filings for Investment Advisors and Their Employees SPOTLIGHT ON Registration Requirements and Filings for Investment Advisors and Their Employees The contents of this Spotlight have been prepared for informational purposes only, and should not be construed

More information

MBA, CFP Financial Consultant

MBA, CFP Financial Consultant NATHAN MCNULTY, MBA, CFP Financial Consultant nathan.mcnulty@meritrustwm.com Direct: 502.882.4608 Nathan McNulty is a Financial Consultant at Meritrust Wealth Management. He specializes in providing individuals

More information

Part 2B of Form ADV: Brochure Supplement

Part 2B of Form ADV: Brochure Supplement Capital Ideas, Inc. Charles M. Best 5950 Berkshire Lane, #1060 Dallas, TX 75225 214-750-4400 Item 1 - Cover Page This brochure supplement provides information about Charles M. Best that supplements the

More information

Legal, Government Affairs & Business Consultant

Legal, Government Affairs & Business Consultant Frank S. Ioppolo, Jr. Managing member Ioppolo Law Group, PLLC 1525 International Parkway Suite 4071 Lake Mary, FL 32746 (407) 444-1004 frankjr@ioppololawgroup.com www.ioppololawgroup.com Legal, Government

More information

J. RANDLE HENDERSON. ATTORNEY at LAW 16506 F. M. 529 SUITE 115-107 HOUSTON, TEXAS 77095 713.870.8358 Ph. 281.758.0545 Facsimile jrh@hendersonrandy.

J. RANDLE HENDERSON. ATTORNEY at LAW 16506 F. M. 529 SUITE 115-107 HOUSTON, TEXAS 77095 713.870.8358 Ph. 281.758.0545 Facsimile jrh@hendersonrandy. J. RANDLE HENDERSON ATTORNEY at LAW 16506 F. M. 529 SUITE 115-107 HOUSTON, TEXAS 77095 713.870.8358 Ph. 281.758.0545 Facsimile jrh@hendersonrandy.com FINANCIAL PROFESSIONALS 2012 YEAR IN REVIEW 2012 saw

More information

2013 SEC and FINRA Year in Review for Broker Dealers and Investment Advisers

2013 SEC and FINRA Year in Review for Broker Dealers and Investment Advisers 2013 SEC and FINRA Year in Review for Broker Dealers and Investment Advisers March 27, 2014 Anne C. Flannery Jennifer L. Klass E. Andrew Southerling www.morganlewis.com Our Team Anne C. Flannery aflannery

More information

Securities Regulation Update

Securities Regulation Update November 2013 SEC Proposes Crowdfunding Rules The SEC has published for comment proposed Regulation Crowdfunding (the Proposal ), which is intended to enable entrepreneurs and start-up companies to solicit

More information

The Issues and Implications of a 3PM / Broker Dealer Relationship

The Issues and Implications of a 3PM / Broker Dealer Relationship and Present The Issues and Implications of a 3PM / Broker Dealer Relationship Sponsored by: January 29, 2009 Speakers Donna DiMaria 3PM President Tessera Capital Services, LLC 212-209-3822 donna.dimaria@tesseraservices.com

More information

Mutual Fund Governance Independent Directors Rule

Mutual Fund Governance Independent Directors Rule Association of Corporate Counsel Corporate Governance Seminar Mutual Fund Governance Independent Directors Rule 5:00 PM 5:50 PM Baruch Performing Arts Center Engelman Recital Hall 55 Lexington Ave New

More information

ADVISORY Dodd-Frank Act

ADVISORY Dodd-Frank Act ADVISORY Dodd-Frank Act July 21, 2010 ADVISERS TO PRIVATE INVESTMENT FUNDS On July 21, 2010, President Obama signed into law the Dodd-Frank Wall Street Reform and Consumer Protection Act (the Act). The

More information

Best Practices for Engaging With Intermediaries. Introduction

Best Practices for Engaging With Intermediaries. Introduction Best Practices for Engaging With Intermediaries Introduction This document is intended to provide IIUSA members with guidance regarding best practices for engaging with intermediaries who will introduce

More information

2015 CRCP Week II: Capstone

2015 CRCP Week II: Capstone 2015 CRCP Week II: Capstone Session Descriptions and Certified Regulatory and Compliance Professional (CRCP ) Program November 8-13, 2015 Session Agenda Day 1 Sunday 4: p.m. 6: p.m. Registration and Reception

More information

TITLE III CROWDFUNDING

TITLE III CROWDFUNDING H. R. 3606 10 have any person associated with that person subject to such a statutory disqualification. (3) For the purposes of this subsection, the term ancillary services means (A) the provision of due

More information

Regulatory Circular RG13-002

Regulatory Circular RG13-002 Regulatory Circular RG13-002 Date: January 2, 2013 To: Trading Permit Holders From: Department of Market Regulation RE: Anti-Money Laundering ( AML ) Compliance Program Annual Requirements for: first time

More information

TERI CANNON Higher Education Consultant 1326 Curtis Street Berkeley, California 94702 Cell: 510-219-1977 tacannon@hotmail.com

TERI CANNON Higher Education Consultant 1326 Curtis Street Berkeley, California 94702 Cell: 510-219-1977 tacannon@hotmail.com TERI CANNON Higher Education Consultant 1326 Curtis Street Berkeley, California 94702 Cell: 510-219-1977 tacannon@hotmail.com EDUCATION J.D., Loyola Law School, Los Angeles, 1984 Dean's List, all years

More information

COMPLIANCE AND EXAMINATIONS; REPORTING AND RECORDKEEPING REQUIREMENTS

COMPLIANCE AND EXAMINATIONS; REPORTING AND RECORDKEEPING REQUIREMENTS I. COMPLIANCE COMPLIANCE AND EXAMINATIONS; REPORTING AND RECORDKEEPING REQUIREMENTS A. Rule 38a-1 1. Rule 38a-1 under the 1940 Act requires funds to adopt a comprehensive compliance program and appoint

More information

UNITED STATES OF AMERICA

UNITED STATES OF AMERICA UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION INVESTMENT ADVISERS ACT OF 1940 Release No. 3993 / January 13, 2015 SECURITIES EXCHANGE ACT OF 1934 Release No. 74044 / January 13,

More information

Registration; Amendments or Updates to Registration

Registration; Amendments or Updates to Registration FEBRUARY 7, 2011 INVESTMENT MANAGEMENT UPDATE Registered Investment Adviser Annual Reviews; Calendar of Certain 2011 Significant Dates for Advisers Investment advisers that are registered with the Securities

More information

} Placement Agents Some Background } Placement Agent Fundraising Process } Placements Agents versus Finders } Other Considerations } Appendix Thomas

} Placement Agents Some Background } Placement Agent Fundraising Process } Placements Agents versus Finders } Other Considerations } Appendix Thomas Placement Agents Some Background Placement Agent Fundraising Process Placements Agents versus Finders Other Considerations Appendix Thomas Capital Group, Inc. Regulatory Framework 2 Placements agents are

More information

REED SMITH LLP INVESTMENT ADVISER NEWS QUARTERLY UPDATE

REED SMITH LLP INVESTMENT ADVISER NEWS QUARTERLY UPDATE 4th Quarter 2004 REED SMITH LLP INVESTMENT ADVISER NEWS QUARTERLY UPDATE The Investment Adviser News features regulatory and other news items of interest to the investment management industry and investment

More information