Key Points:
- Understanding regulations surrounding the financial industry – with a focus on the SEC and Registered Investment Advisers
- How firms and individuals can utilize compliance to enhance their business and marketing efforts
Biography
Brett Niehaus is a Principal Consultant with ACA Compliance Group – a leading provider of risk management and technology solutions focused on regulatory compliance, performance, financial crime, and cybersecurity. He provides comprehensive regulatory and compliance consulting services to leading investment advisers and asset managers, as well as offering insight and expertise on the regulatory landscape. Brett worked in both New York City and London with ACA Compliance Group, prior to relocating to Arizona, where he now resides with his wife.