As most wealth management firms know, by June 30, 2020 broker-dealers registered in the United States must comply with Regulation Best Interest.
David is a published author, attorney, and contract specialist with over 15 years of experience in the compliance field. As a recognized financial services compliance expert, David frequently shares his insights on national radio talk shows, including Bloomberg radio. He has participated in and chaired panel presentations at the ABA Business Law Annual Conference, conducted original empirical research on international contracting methods, and was a member of the New York State Bar Association’s delegation to the United Nations Commission on International Trade Law (UNCITRAL).
He currently undertakes market research on MiFID II, communication compliance, emerging market economies, and the effective use of fintech/big data for compliance process evolution. Current projects include educating financial institutions on MiFID II, MAR, Dodd-Frank, GDPR, and the compliance obligations of crypto exchanges.