In her role as senior counsel, Betsy focuses her practice on financial services, securities law, and regulatory compliance. In her past role as general counsel for a brokerage and clearing firm, she developed an informed perspective on advising clients who conduct their business in a regulatory environment.
Betsy focuses on helping clients take a proactive approach to meeting their regulatory requirements, in line with their practical and operational needs.
She has extensive experience in advising clients on compliance with federal and state securities laws and their impact on broker-dealers, investment advisors, and public companies. She also helps design compliance policies and written supervisory procedures, and advises on corporate governance. She has performed internal investigations and implemented remediation programs for clients. She also assists with inquiries, examinations, and enforcement actions related to the U.S. Securities Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), and state securities divisions.
Betsy has been at the forefront of helping several financial services firms design and implement anti-money laundering programs in compliance with their obligations under the Bank Secrecy Act.