Seasoned executive with broad U.S. and international securities regulation expertise, and extensive senior management and legal experience. Known for developing and implementing compliance programs at leading U.S. and non-U.S. firms to satisfy regulatory obligations and promote good employee conduct. Respected by industry and regulators for consulting work, including independent reports on post-settlement remedial steps taken by settling broker-dealers, and serving as an expert witness. As senior fellow at Harvard's Kennedy School of Government, published on rules and ethical decision-making in organizations, and co-authored articles on corporate governance.Specialties: U.S. and international securities law and compliance; risk management; broker-dealer, investment management and investment advisory businesses; business ethics; general management.