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213 Enforcement Actions in the U.S. over past 30 days
FINRA enforcements decreased 70% over the past 30 days
CME issued enforcements: $1,241,754.92 over the past 30 days
161 Final Rules go into effect in the next 30 days
41 Mortgage Lending docs published in the last 7 days
1460 docs with 2637 extracted obligations from the last 7 days
74 new Proposed and Final Rules were published in the past 7 days
5524 new docs in pro.compliance.ai within the last 7 days
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Mr. Smith is a seasoned CCO and securities and business attorney with over 20 years of experience strengthening the legal and compliance functions of investment advisers, broker-dealers, and both public and private investment vehicles. He currently is CCO and CLO of Virtue Capital Management LLC, CEO and Co-founder of RIA Compliance Firm LLC, and Founder and Managing Attorney for LawVisory. He has previously served as head of legal and compliance for several large registered investment advisers, as Investigative Counsel for the Financial Crisis Inquiry Commission and worked in the Director of Enforcement’s Office at the SEC. In addition to being a J.D. and having a LL.M. in Securities & Financial Regulation from Georgetown Law, Mr. Smith holds the certifications of IACCP, CRCP, and CRM.