Banking and Financial Markets Expert Witness
VEGA Compliance Consulting
321 Main Street
#156
Avon, New Jersey 07717
#156
Avon, New Jersey 07717
► Contact Expert Witnesses for These Areas of Expertise
Chief Compliance Officer and controls executive from major global investment banks.
30 years of institutional and retail expertise; FINRA exams (8)
Product expertise in equity/stocks, bonds, hedge funds, commodities, FX, derivatives and other complex products
Activity expertise in trading, marketing, sales, control infrastructure, and governance
International Expat experience (Paris and London 2015-2019)
Specific interaction and witness prep for Securities and Exchange Commission, Federal Reserve, CFTC, FINRA, New York State,
Areas of Expertise
- Banking
- Banking Compliance
- Broker Dealer
- Business
- Commodities Futures
- Corporate Governance
- Ethics
- Financial
- Financial Compliance
- Hedge Funds
- Internal Controls
- Investment Banking
- Investments
- Malpractice, Financial
