REPRESENTATIVE EXPERIENCE Carol regularly assists clients on matters such as:
- Registration, reporting and disclosure matters.
- Compliance issues arising from the distribution of investment products.
- Developing comprehensive written compliance policies and procedures for investment advisers.
- Advising financial institutions that sponsor multi-tiered investment products, such as college savings plans (529 Plans), on regulatory, transactional and disclosure matters.
RECENT PUBLICATIONS
- Co-author, “Beating the Market by Staying Out,” The Investment Lawyer (April 2009)