todd-genger

Todd Genger is an independent compliance consultant focusing his practice on broker-dealer and investment adviser compliance and market regulation matters. Mr. Genger is a former attorney for one of the leading law firms in the world and a former Vice President at Goldman Sachs. As an attorney, Mr. Genger represented some of the leading financial institutions in the world on complex securities litigation and regulatory enforcement issues. Todd has been involved in the drafting of SIFMA comment letters on various SEC rulemaking initiatives and has authored or contributed to many timely alerts on broker-dealer and market regulation developments.

Mr. Todd Genger is nationally recognized for his expertise in regulatory compliance issues, including broker-dealer regulation, investment adviser regulation and SEC and SRO enforcement matters. As an independent compliance consultant to several prominent financial institutions, Todd Genger frequently draws on these areas of expertise, including advising on bank holding company risk management and gap analysis, compliance training and drafting and maintaining compliance policies and written supervisory procedures.