attorney at law
Practice Areas
Securities Law
Municipal securities law for broker-dealers is a complex mix of federal law and regulations, SRO rules, and often," reading the tea leaves" of proposing and adopting releases as well as the public speeches of various regulators. And it's conducted against the backdrop of state and local laws that affect municipal debt and debt issuances, as well as IRS regulations intended to make public, tax-exempt debt serve public purposes.
The Municipal Advisor rules are another area filled with regulatory trapdoors and minefields: you need a roadmap and a guide.
It's an increasingly dangerous landscape. I want you to stay safe out there.
Compliance Consulting
Once you've got the law straight, you have to face the tricky process of getting the details of its practical application correct. Our world is increasingly scrutinized through data analysis--sometimes it seems that regulators won't be satisfied until everyone has an above-average report card. If you want to comply, Step One is to have comprehensible, plain-English procedures that are feasible, that trap errors, and that capture enough data to prove your compliance.
A consultant with a background that includes engineering, database design, and project management (as well as securities law) is just what you need.
Compliance Training
and Materials
To capture the attention of investment bankers and traders and salespeople, you need more than just another PowerPoint. To educate your broker-dealer staff and make the lesson stick, you need colorful, memorable, scenario-based learning and interactive training materials. Those materials do need to be educationally dense--filled with the facts and rules that you want to get across--but every detail needs to be there for a reason. The reason is: it will help this person remember How To Comply.
A compliance educator with a real knack for storytelling is an asset here.