Grace’s professional career spans more than twenty-five years across fund managers and broker-dealers. Grace functioned as a manager, partner, member, and Chief Compliance Officer of both broker-dealers and investment advisors, and acquired extensive expertise in private fund management, trading floor operations, FINRA/SEC/NFA/CFTC reporting, underwriting and supervisory control procedures. Grace maintains particular familiarity with Dodd-Frank, FSA, […]

Brian F. McNally has almost 30 years of regulatory experience as investment management lawyer and compliance professional, including senior roles at the U.S. Securities & Exchange Commission, in private law practice at two national law firms, and in house as general counsel and chief compliance officer of a prominent investment adviser. Brian also served as […]

Gary has over 25 years of substantial alternative asset management business, securities law, fund manager operations, securities regulations, hedge, private equity, venture capital fund offering (private placement), initial public offering, C-suite fund manager business and legal expertise.  Deep know how of the alternative asset management business model as: (i) former managing attorney at a cutting-edge […]

CFTC new rule impacting definition of “qualified eligible person” exemption to avoid regulatory review of documents

SEC adopted changes to comply in 2024 aimed at non-registered and registered advisers (IAs) to private funds)