EXPERIENCE

Compliance International, LLC has significant employment and industry experience with the following types of entities:

COMPANIES:

Broker/Dealers

Investment Advisers

Investment Companies

Stock Exchanges

Securities Derivatives Exchanges

Foreign Currency Options Exchange

Securities Depositories

Securities Clearing Corporations

Securities Compliance Industry Associations

Investment Banks

Commercial Banks

Bank Industry Associations

Trust Companies

Credit Unions

Investment Product Manufacturers

Discretionary Asset Managers

Hedge Funds

Insurance Companies

Insurance Agencies

Law Firms

CI staff has held positions with multiple financial services firms and other entities in the following roles:

ROLES with ENTITIES

Board of Directors Member

Chief Executive Officer ("CEO")

Chief Compliance Officer ("CCO")

Chief Operations Officer ("COO")

Chief Legal Officer ("CLO")

General Counsel-US & UK Operations

General Counsel

Executive Vice President

Senior Vice President

Compliance Officer

Counsel

Business Conduct Committee Chairperson

Audit Committee Chairperson

Compliance Registered Options Principal

NASD Industry Arbitrator

NASD District Committee Member

NASD Hearing Panel Participant

Investment Adviser Certified Compliance Professional ^sm

Industry Association Focus Group Member

Lecturer for The Center for International Legal Studies

CI staff has significant experience in working with the following regulators:

REGULATORS

Securities and Exchange Commission ("SEC")

National Association of Securities Dealers ("NASD")

Federal Reserve Bank ("FRB")

Office of Thrift Supervision ("OTS")

Office of the Comptroller of the Currency ("OCC")

Federal Deposit Insurance Corporation ("FDIC")

UK Financial Supervision Authority ("UK FSA")

Finnish Financial Supervision Authority ("Finnish FSA")

U.S. Patent & Trademark Office ("USPTO")

U.S. Copyright Office

State Securities Commissions

State Insurance Commissions

Other Regulatory Authorities

CI brings a world of insight to your business. CI looks forward to demonstrating why a relationship with CI is the Right Choice.

Home Mission Statement Experience Products & Services - Business Clients - Individuals News Testimonials Strategic Affiliations Contact Us		EXPERIENCE Compliance International, LLC has significant employment and industry experience with the following types of entities: COMPANIES: Broker/Dealers Investment Advisers Investment Companies Stock Exchanges Securities Derivatives Exchanges Foreign Currency Options Exchange Securities Depositories Securities Clearing Corporations Securities Compliance Industry Associations Investment Banks Commercial Banks Bank Industry Associations Trust Companies Credit Unions Investment Product Manufacturers Discretionary Asset Managers Hedge Funds Insurance Companies Insurance Agencies Law Firms CI staff has held positions with multiple financial services firms and other entities in the following roles: ROLES with ENTITIES Board of Directors Member Chief Executive Officer ("CEO") Chief Compliance Officer ("CCO") Chief Operations Officer ("COO") Chief Legal Officer ("CLO") General Counsel-US & UK Operations General Counsel Executive Vice President Senior Vice President Compliance Officer Counsel Business Conduct Committee Chairperson Audit Committee Chairperson Compliance Registered Options Principal NASD Industry Arbitrator NASD District Committee Member NASD Hearing Panel Participant Investment Adviser Certified Compliance Professional ^sm Industry Association Focus Group Member Lecturer for The Center for International Legal Studies CI staff has significant experience in working with the following regulators: REGULATORS Securities and Exchange Commission ("SEC") National Association of Securities Dealers ("NASD") Federal Reserve Bank ("FRB") Office of Thrift Supervision ("OTS") Office of the Comptroller of the Currency ("OCC") Federal Deposit Insurance Corporation ("FDIC") UK Financial Supervision Authority ("UK FSA") Finnish Financial Supervision Authority ("Finnish FSA") U.S. Patent & Trademark Office ("USPTO") U.S. Copyright Office State Securities Commissions State Insurance Commissions Other Regulatory Authorities CI brings a world of insight to your business. CI looks forward to demonstrating why a relationship with CI is the Right Choice.
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