Compliance

Regulatory Examination Experience: 

Day-to-day point person for various regulatory inspections. Primarily responsible for shielding the management company from any potential reputational risk or regulatory violations associated with non-compliance:

• '04 SEC Investigation (Industry-wide investigation which lasted two years)

• '08 SEC Examination (Routine exam)

• '10 IRS Examination (Transfer tax examination)

• '11 DOL Examination (Employment Relationship Under the Fair Labor Standards Act)

• '11 FRB Examination (Routine exam)

• '14 SEC (Reg D Sweep exam)

• '14 NFA Examination (Routine exam)

• '23 SEC Examination (Routine exam)
   

Regulatory Investigation Experience: 

Team Lead for an industry-wide joint legal defense team for subsidiaries of Goldman Sachs, Bear Stearns, and Bank of America which negotiated a $250 million industry-wide settlement with the SEC.