Gary Swiman, Cpa, Cfe, Cff, Cams, Cfcs, Jd Email & Phone Number

boutique private wealth manager for cross border families investing in private equity, venture capital, and real estate funds as LP’s as well as direct participation in SPV’s and venture backed start ups

Fort Lauderdale, Fl, Us

NFA registered Commodity Pool Operator /Hedge Fund focused on trading electricity, FTR’s, congestion, and day ahead in organized ISO markets, PJM, NYISO, MISO, SPP, and ERCOT.

Chicago, Il, Us

Head of Regulatory and Compliance Consulting for the Financial Services Advisory practice.-Advised financial institutions on regulatory matters and implementing compliance best practices, including compliance program development, policy and procedure revision, forensic testing and monitoring, onsite training, governance processes and reporting, FINRA certification, 15c3-1 and 15c3-3 and anti-money laundering regulatory, remediation and enforcement legal support. -Successfully negotiated settlements and changed the direction of regulatory examinations conducted by the SEC and FINRA on behalf of investment adviser and broker-dealer clients.

New York, Ny , Us

National Practice Leader advising clients to proactively identify, manage and mitigate regulatory risk. -Advised financial institutions how to respond to complex regulatory and compliance challenges. Industries include broker dealer, and advisory clients, investment advisors (RIA, HF and PE), forex , futures, swaps and derivatives, and VC's. -Facilitated new opportunities while growing existing clients. -Provided end to end advisory services to executives and Boards through the designing of regulatory compliance programs, mock regulatory reviews, conducting independent compliance reviews, on behalf of regulators and management, drafting of compliance programs, as well as handle a large number of regulatory enforcement actions on behalf of clients. -Served as an outsourced CCO for both BD's and RIA's and works with outside counsel in the drafting of key documents such as a firm's ADV, LP agreement, and related policies and procedures referenced in them. -Grew the CARS's AML (Anti Money Laundering) practice to include working closely with Defense Counsel on numerous SEC Enforcement matters, as well as worked on three cases for the US Attorney's office. -Formed a strategic alliance with SEI Fund Services to provide their client's global compliance advice in 50 jurisdictions throughout the world.

New York, Ny, Us

• One of four principals leading a 50 employee consulting firm serving a broad range of financial institutions, such as investment advisers, banks, broker/dealers with both U.S. and international operations, seeking a one stop solution for resolving a full range of compliance related matters. For example, compliance programs (creation and maintenance), managed account platforms (institutional, retail and overlay), AML (money transmitter, EDD), Forensics, SEC representation, etc. with a client base consisting of separate accounts, managed funds (alternative, registered, fund of funds, master feeder), REITS (public and private), federal government and much more. The implementation of recommended solutions at times included customized adjustments to the infrastructure, systems (new and enhancement to existing), operational/internal controls and management realignment. • As the head of the regulatory compliance division at C&A, my responsibilities are to tap into my broad range of both compliance and management skills sets to formulate strategy, both recommendations and implementation in collaboration with my peers and other colleagues, which included staff, supervising managers and consultants within my team, with the objective of providing the best fit solution for the type of engagement, client and culture within the firm taking into consideration affiliates, divisions, etc. • These efforts have resulted in expanding C&A’s product offering through the successful implementation of ideas and a self-sustaining regulatory compliance operations division of C&A.

New York, Ny, Us

• As a partner and the practice group leader of the Asset Management/Broker-Dealer compliance subsidiary of ICS, one my key responsibilities was to build a regulatory compliance consulting practice through the sourcing of existing and new client opportunities. This involved formulating marketing strategies designed to achieve desired results and a reorganization of existing firm staffing resources to make use of cross over capabilities. Key clients and prospects included investment advisers (registered and seeking registration) and FINRA broker/dealers.• Additional responsibilities included serving as the strategic leader on engagements to SEC registered investment advisers, advisers seeking registration and broker/dealers. Overseeing a team of seasoned compliance professionals working on a range of projects that included serving as an outsourced compliance department, assisting asset management firms to build out their advisory/broker-dealer business by crafting compliance programs designed for a dual registrant to meet the SEC’s compliance program requirements and broker/dealers and continuing the relationship to provide ongoing compliance assistance. • Serving as an expert witness in depositions, representing firms in potential enforcement actions to avert the issuance of a “Wells Notice”, and serving clients in more routine type engagements such as performing Mock SEC inspections, 206(4)-7 and 38a-1reviews, updating compliance programs, revising policies and procedures, focused reviews, performing forensic testing, 5130 certifications, AML, money transmitters, systems implementations (trade order management, books and records document preservation, guideline monitoring, e-mail, etc.), and a range of various other projects satisfying the compliance needs of hedge funds, hedge fund of funds, private capital funds and fund of funds, venture capital, wealth management, mutual funds, wrap programs (retail and institutional) and broker-dealers.

Responsible for leading teams responsible for conflicts of interest studies, due diligence reviews, AML program assessments and remediation, compliance program development including the drafting Compliance policies and procedures and evaluation, and providing a wide- array risk assessment services to Investment companies, Investment Advisors, Sponsors of registered and unregistered funds to ensure compliance with Rules 38a-1 and 206(4)-7 as applicable, Business Development Companies, Hedge funds and Broker- Dealers including the performance of five 3012 certifications in fiscal year in 2009.Responsible for assisting clients in responding to and preparing for regulatory examinations and inquiries requiring forensic analyses and presentations to regulators along with conducting numerous reviews to satisfy SEC Consent order requirements.Responsible for design and implementation of government/oversight frameworks. This includes assisting clients develop, enhance and implement compliance programs as well as supporting operations and associated internal controls testing programs, risk assessment methodologies, the performance of detailed forensic testing and transaction/ financial statement reconciliations and other books and records. Responsible for business development and marketing which resulted in approximately $2,000,000 in incremental revenue in fiscal year 2009.Responsible for presentations to Firm's Board of Directors as requested by client. Presented to client Board's four times in fiscal year 2009.Responsible for leading all formation , structuring , launching of start-up Hedge funds including the drafting, reviewing , negotiating of , offering memoranda, operating agreements, investment management and advisory agreements, subscription documents, custodial agreements, prime brokerage agreements , as well as loan , security agreements and financing documents.Manage a staff of twenty five professionals.

Colombo , Lk

As Global Chief Compliance Officer oversaw all compliance for global investment advisors, investment companies, and closed-end funds. Led a global team of associates across the US, Europe and Asia, setting policies, implementing programs, and handling all financial regulatory issues for state, federal and global regulatory bodies.

New York, Ny, Us

Served as Global Chief Compliance Officer overseeing all compliance for investment banking, investment management and private capital advisory. Led a global team of 25 associates across the US, Europe and Asia, setting policies, implementing programs, and handling all financial regulatory issues for state, federal and global regulatory bodies.

New York, Ny, Us

• Developed Firm element module yearly on AML given to every registered person.• Manage staff of compliance and regulatory professionals in areas such as U.S training to forty thousand employees, internal branch examinations, and interaction with all regulatory bodies through Enforcement process, as well as, U.S policies and procedures.• Primary Firm liaison with the SEC, NYSE, NASD, CBOE State Securities Commissioners on all regulatory examinations. Accountable for timely response and resolution of investigations.• Negotiate with regulatory officials to reduce penalties against the Firm for rule violations. • Report to the heads of Global Compliance and Global Regulatory Affairs on all regulatory issues and provide guidance to Firm’s Senior Management including reporting to the MLPF’s Board of directors annually.• Represent senior business executives before the SEC, NYSE and NASD in matters involving formal and informal testimony. Educate executives and Compliance Department on new and existing policies as they relate to business practices.• Testify on behalf of the Firm on regulatory topics before Enforcement and Market surveillance areas of SEC and SRO’s.• Authorize all new compliance policies and changes to pre-existing policies. Responsibilities include drafting upwards of 100 original policies per year on behalf of Global Compliance Department, thereby ensuring adherence to rules and regulations.• Setting the direction of the Firm’s Office of General Counsel as it relates to policy structure and personnel, via membership in the Office of General Counsel Operating Committee.

Tokyo, Jp

Responsible for Audit Departments based in United States and London. Served as primary regulatory contact for compliance side of business.Managed relationships with key regulators and drafted compliance policies.Appointed to the Firm's Global Audit and Global Compliance Management Committees.Dually reported to US Chief Executive Officer and Japan's Director of Compliance.Supervised staff of thirty professionals based in multiple offices throughout the U.S. and Europe; Director of ComplianceManaged all aspects of Compliance Department including adherence to all applicable equity trading rules and regulations. Extensive interaction with NASD Market Regulation.

Savannah, Georgia, Us

1990-19993 received my JD degree degree as a full time student at Fordham Law cum Laude

Jd, Law

Bachelor, Business Administration; Public Accounting Major