Suggestions
Lisa Conrad
Chief Compliance Officer at CBAM Partners, LLC
Richard W. Conrad is an accomplished attorney and compliance expert in the financial services industry. With a diverse range of experience advising broker-dealers, investment advisers, banks, hedge funds, investment companies, and other financial institutions, Conrad has a solid grounding in US and international securities, banking, investment management, and corporate law. He is well-versed in regulatory compliance, having built several compliance programs from the ground up and advised on regulatory and reputational risk management, fund formation, policy drafting, training, surveillance, insider trading, marketing material review, investor relations, operational due diligence, audits and examinations, anti-corruption, internal controls, and more. Conrad's expertise in financial services regulatory matters makes him a highly sought-after legal consultant who offers practical advice to clients in achieving their business goals while meeting regulatory expectations.
