One of the keys to working with regulators is thinking like a regulator. With years of experience as a regulator, Amoroso Compliance provides a unique perspective on how to identify regulatory issues, and more importantly how to satisfy regulatory expectations.
Amoroso Compliance can offer an array of compliance and regulatory services that includes providing assistance to legal departments when working with outside counsel. Let us share our expertise in addressing your regulatory issues or concerns.
Working with outside counsel is critical when regulators are considering enforcement action. There are, however, steps you can take to make sure you are getting the most for your legal dollar.
Offering Experience as Both a Former Regulator and a Securities Litigation Consultant with a Law Firm Specializing in Securities Litigation
Offering Experience as Both a Former Regulator and a Securities Litigation Consultant with a Law Firm Specializing in Securities
COLLABORATION WITH OUTSIDE COUNSEL
Amoroso Compliance Consulting, LLC founder, Greg Amoroso, spent 15 years working as a Securities Litigation Consultant for a top tier law firm in the securities litigation space. As a result, he has knowledge of the inner workings of how law firms operate and therefore can guide you on how to get the most from your outside counsel.
Greg also spent 18 years working for NASD (n/k/a FINRA). While at NASD, Greg managed an examination team which conducted routine and special examinations of broker dealers. Greg was also involved in supervising the Membership Application Process and participated in many national examination projects.