667 Madison Avenue New York City, NY, 10065
substantial private fund to alternative asset management, securities law, product fund formation (private placement to IPO), fund business matters-strategy, securities regulations, and C-suite business and legal expertise across execution, framework, business strategy, best practices compliance, operations, supervision of investing organizations. ...
Brian F. McNally has almost 30 years of regulatory experience as investment management lawyer and compliance professional, including senior roles at the U.S. Securities & Exchange Commission...
Grace is a financial industry professional whose career spans more than twenty-five years. A former manager, partner, member, and Chief Compliance Officer of both broker-dealers and investment advisors...
(FINRA Series 7, 24, 79, 99 and 55)
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