C O M P L I A N C E R I S K M A N A G E M E N T
Leading the team as founder and CEO is Chris Franke, former Managing Director and Head of Compliance (Americas) for JP Morgan's Investment Bank and Private Bank. He spent his 36 year career as a compliance professional initially working for the NASD and the SEC in various management positions and thereafter serving as head of Market Regulations for NASDAQ and later as head of compliance for Salomon Bros., Europe.
In addition he served as Chairman of the SIA's Self Regulations and Supervision Committee, participated as a member of the NASD (nka FINRA) District Committee and served on many other SIA (nka SIFMA) and Bond Market Association committees.
Partnering with him are distinguished lawyers and compliance professionals with backgrounds as senior managers at Merrill Lynch, JP Morgan, Oppenheimer and Chase Bank.
We consider ourselves the best in class for planning and executing the full range of regulatory and compliance programs plus associated written policies, procedures and training for US and foreign broker/dealers, asset managers and banks.
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