Moshe L.
Chief Compliance Officer and Deputy General Counsel at Zweig-Dimenna Associates- Claim this Profile
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Bio
Credentials
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Series 7, 24, and 66 Licenses
FINRA
Experience
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Zweig-Dimenna Associates
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Capital Markets
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1 - 100 Employee
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Chief Compliance Officer and Deputy General Counsel
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1996 - Present
Panelist or Moderator: • FRA Operations & Compliance for Alternative Investment Funds, June 21, 2017, “SEC Audit and Compliance Best Practices – How Current Examinations Will Shape Your Fund’s Compliance Culture” • ALM Hedge Fund GC Summit, September 28, 2016, “OCIE Cybersecurity and Other Market-Wide Risks” • FRA Private Investment Fund Accounting, Operations and Compliance Forum, July 18, 2016, “Tackling Key Regulatory and Compliance Items: What’s on the SEC’s Radar and what should Private Investment Funds be doing about it?” • RCA Enforcement, Compliance & Operations Symposium, May 17, 2016, “Upgrading Compliance Supervision, Surveillance, Testing and Reviews” • RCA Practice Edge Session, December 15, 2015, “The FCPA and the Rise of Global Anti-Corruption Enforcement” • ALM Hedge Fund GC Summit, October 20, 2015, “Mitigating Cybersecurity Risks to Comply with OCIE” • RCA Practice Edge Session, October 15, 2015, “Building a Compliance Program to Support Expert Network Use” • FRA Private Investment Fund Accounting, Operations and Compliance Forum, July 29, 2015, “Tackling Key Regulatory and Compliance Issues that Private Investment Funds are Facing” • RCA Practice Edge Session, July 9, 2015, “Upgrading Compliance Supervision, Surveillance, Reviews and Remediation” • RCA Enforcement, Compliance & Operations Symposium, May 6, 2015, “Implementing a Comprehensive Cybersecurity Program – Regulator & Allocator Case Study” • ACI Private Equity and Hedge Fund Summit on FCPA, Economic Sanctions and AML Risk, March 31, 2015, “Proven Strategies to Improve the Compliance Process in your Organization” • FRA Private Investment Funds Compliance Master Class, February 17, 2015, “Foreign Corrupt Practices Act: Elements of an Effective Policy for Your Fund” • ALM Hedge Fund GC Summit, October 2, 2014, “Best Practices for Complying with SEC Cybersecurity Preparedness Exams: Lessons Learned from the OCIE Risk Alert”
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Brenton Point Wealth Advisors LLC
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United States
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Investment Management
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1 - 100 Employee
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Chief Compliance Officer and General Counsel
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Mar 2017 - Present
Panelist or Moderator: • RCA Compliance Officer Roundtable, May 19, 2021, "Small to Mid-Size Firms Roundtable" • RCA Enforcement, Compliance Vision 2021 Symposium, November 7, 2019, “CCO Compliance Climate Change” • RCA Enforcement, Compliance & Operations Symposium, May 8, 2019, “Enforcement, Compliance and Operations - Confidential Practice Discussion Group” • RCA Compliance, risk and Enforcement, November 8, 2018, “CCO Challenges and Priorities 2019” • RCA Enforcement, Compliance & Operations Symposium, May 15, 2018, “Addressing Conflicts of Interest in a Shifting Fiduciary Rule Environment” • YJP General Counsel Conference, January 23, 2018, "Keeping the Audience in Mind - Creative Compliance Training" • FRA Private Investment Fund Due Diligence and Safeguarding Summit, November 14, 2017, “Cybersecurity: Results from the OCIE Risk Alert” • RCA Compliance Risk & Enforcement, November 7, 2017, “The Art of Successfully Communicating and Negotiating with Regulators”
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Education
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Columbia Law School
Doctor of Law (JD) -
Touro College
Bachelors of Arts in Political Science
Community
