Celesq® Presenters

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Nicholas  Nunez

With over a decade of regulatory compliance experience, Nicholas Nunez works with investment advisers and broker dealers to register with regulatory authorities, develop and maintain their compliance programs and withstand scrutiny under both regulator examination and investor due diligence. In addition, Nicholas works with the CEO to manage the operations of Silver. 

Prior to joining Silver, Nicholas served as the Deputy Director of Compliance at Commonwealth Opportunity Capital (CWOC), an SEC and CFTC-registered adviser that employed global macro strategies. At CWOC, he ensured implementation of numerous aspects of the compliance program, including development and execution of policies and procedures, administration of forensic testing and management of compliance trainings and also served as the firm’s cybersecurity responsible officer. Prior to CWOC, Nicholas was an Associate Director at CounselWorks LLC, a regulatory and business strategy consulting firm to investment advisers and broker dealers. 

Nicholas holds a Bachelor of Science in Business Administration from Saint Joseph’s University and is proficient in Italian.

Programs by Nicholas  Nunez.

The crypto and digital asset space remains a growing and complex sector due to legal restrictions, as well as simultaneous increased regulatory uncertainty and scrutiny.  This program aims to demystify crypto and digital assets by providing att...

Program Number
32105
Program Date
2022-06-07
Category
Banking & Finance LawBusiness Organizations & ContractsComputer, Internet & E-Commerce LawCorporate and Securities LawCryptocurrencyFederal CourtsFinancial RegulatoryFlorida EligibleTechnology Law
State
CaliforniaColoradoFloridaGeorgiaNew JerseyNew YorkTexas Self Study