Gary Swiman has + 25 years of experience in evaluating, implementing and leading compliance, audit and anti-money laundering departments for some of the world’s largest hedge funds, private equity funds, mutual funds and broker-dealers. Such firms include Evercore Partners, Aberdeen Asset Management, Merrill Lynch, and Nomura Securities.

Mr. Swiman has a legal degree and is also a certified public accountant, chartered hedge fund professional, certified fraud examiner and certified financial forensics specialist. He has also achieved the following registrations with the Financial Industry Regulatory Authority (FINRA): Series 3, 4, 7, 8, 9, 10, 14, 24, 27, 53, 63 and 65.

As a published author on various regulatory topics, he has contributed numerous articles to industry publications and is frequently sought after by leading specialists and consumer publications to comment on how regulatory events can shape compliance requirements. Such an extensive and wide-ranging exposure to multiple industry sectors, with industry-recognized credentials, gives Gary a unique perspective and in-depth understanding of how registered investment advisers, hedge funds, private equity funds, wealth management funds and broker-dealers can meet growing regulatory requirements.