Securities Compliance

Definition: Securities compliance is the act of adhering to, and demonstrating adherence to, the set of standards and regulations set forth for the securities indusrty.

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Securities Compliance Case Studies

Auditing Expert in Hedge Fund NAV
An auditing expert with experience auditing hedge funds was requested for a case alleging negligence and breach of fiduciary duty.
Brokerage Compliance Expert in Distressed Debt
A brokerage compliance expert with distressed debt experience was needed for an insider trading case.
Fiduciary Duty Expert in Collateralized Debt Obligations
A fiduciary duty expert in fiduciary duty securities law and disclosure obligations was needed for arbitration in a failure to disclose issue.
Securities Clearinghouse Expert in Dividend Distributions
A securities clearinghouse expert with knowkedge in securities clearinghouse behaviors and dividend distribution was needed for securities fraud litigation.
Securities Fraud Expert in Subordinated Notes
A securities fraud expert in the SEC registration process was needed for a class action involving subordinated notes.
Securities Investment Compliance Expert
A securities investment compliance expert was needed for a class action securities fraud action involving a financial services investment company

Securities Compliance Experts

Economic Damages Expert
This economic damages expert has more than 30 years of experience, and is trained as both an accountant and attorney. She has held leadership roles with large corporations and government agencies, and worked with Big 4 accounting firms.
Money Management Expert
After graduating with his J.D., this money management expert began his career as an attorney adviser in finance to the SEC’s Division of Investment Management.
Regulatory Compliance Expert
This regulatory compliance expert is CEO and Founder of a regulatory compliance consultancy firm.
Restricted Securities Expert
Having nearly three decades of experience, this restricted securities expert specializes in securities compliance, restricted securities, risk management, broker/dealer internal documents, and Securities and Exchange Commission (SEC) registration.
SEC Compliance Expert
This SEC compliance expert is familiar with Rule 144 and 145 and has testified as a company representative and as an independent expert witness.
SEC Regulations Expert
With more than 20 years of SEC experience, this SEC regulations expert has extensive experience regarding the compliance requirements of SEC and FINRA rules and regulations.
Securities Accounting Expert
This securities expert has over 25 years of accounting experience in securities.
Securities Compliance Expert
With 35 years of industry experience, this securities compliance expert provides consulting services to numerous individuals and companies on various financial compliance and regulatory issues and procedures.
Securities Executive Management Expert
This securities executive management expert has more than 40 years of experience in the securities brokerage industry.

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