Corey Gomes joined Fairview in 2017 as a Senior Compliance Associate and has held several roles within the Compliance Administration practice area since then, including Team Lead, Client Solutions, and Lead Compliance Associate. Corey currently oversees the development and implementation of Fairview’s proprietary Compliance applications as well as external RegTech applications, which facilitate more accurate and streamlined workflows bespoke to the firm’s clients. As a Relationship Manager, he partners with RIAs and CCOs to provide full compliance administration support.
Prior to joining Fairview, Corey worked at Hatteras Funds, LP for two years, as well as Credit Suisse for seven years, where he was most recently Assistant Vice President of Fixed Income Cash Control and Regulatory Reporting.
The SEC charged 16 firms for widespread and longstanding failures to maintain and preserve electronic communications.Read More
Restrictions on the use of material non-public information are one of the cornerstones of the SEC’s regulatory framework.Read More
SEC Chair Gensler spoke at Northwestern Pritzker School of Law’s Annual Securities Regulation Institute yesterday, where he focused on the Commission’s cybersecurity initiatives.Read More