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| OCTOBER 26, 2011, THE METROPOLITAN CLUB, NYC |
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Barry Schwartz
Founding Partner
ACA Compliance
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Barry Schwartz is a founding partner of ACA and is responsible for coordinating and conducting mock inspections of investment advisers, investment companies and hedge funds. Mr. Schwartz also assists ACA clients in responding to SEC deficiency letters, reviewing best execution and trading practices, preparing advertisements that comply with the federal securities laws and developing customized policies and procedures. Mr. Schwartz spearheads ACA's ongoing efforts to help regulated entities make better use of technology to track and mitigate internal and external compliance risks. He is a frequent speaker at industry conferences that focus on compliance issues.
Mr. Schwartz joined the SEC's Office of Compliance Inspections and Examinations in 1998 as a Securities Compliance Examiner and was subsequently promoted to Staff Accountant. While on the SEC staff, he participated in over 90 examinations of investment advisers, investment companies, and transfer agents and subsequently referred four registered investment advisers and investment companies to the SEC's Division of Enforcement for further investigation. In addition, Mr. Schwartz lectured at the SEC's annual training seminar for new inspection staff. For his efforts to help prepare the industry for Y2K, Mr. Schwartz was awarded the SEC's Examination Award of Excellence. Prior to joining the SEC, Mr. Schwartz was employed by a prominent Washington, DC registered investment adviser. He graduated cum laude from The American University, Washington, DC , majoring in International Finance with a minor in Spanish Language Studies. |
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