Читать книгу Financial Regulation and Compliance - Kotz H. David - Страница 8

H. David Kotz (Washington, DC) presently serves as a Managing Director at Berkeley Research Group (BRG), a leading global expert services and consulting firm that provides independent expert testimony, litigation and regulatory support, authoritative studies, strategic advice, and document and data analytics to major law firms, Fortune 500 corporations, government agencies, and regulatory bodies around the world. He is a member of BRG's Capital Markets Practice, where he specializes in the regulation of, and securities trading by, broker-dealers, investment advisers, hedge funds, insurance companies, and banks. He consults with and provides expert testimony on behalf of clients in a wide variety of areas relating to securities fraud, Ponzi schemes, securities market regulation, internal control risk policies, regulations of Futures Commission Merchants, and commodities trading regulation. He also conducts internal investigations and serves as a compliance monitor for firms that have entered into deferred prosecution agreements and similar arrangements with government agencies. Prior to BRG, Kotz served for over four years as the Inspector General of the Securities and Exchange Commission (SEC).