Chris Lombardy

Chris Lombardy is a Managing Director and Head of U.S. Compliance Consulting at Duff & Phelps. Mr. Lombardy has extensive experience within the investment advisory industry as a lawyer, chief compliance officer and consultant. Mr. Lombardy works closely with investment advisory and broker-dealer clients on numerous matters, such formation and structuring, establishing compliance and operations infrastructure, selecting appropriate service providers, identifying and addressing risks and conflicts, performing operational due diligence reviews, preparing for and dealing with regulatory examinations and performing mock regulatory examinations.

outline of detective in neon lights

About this time each year – when the SEC’s Office of Compliance Inspections and Examinations (OCIE) releases its annual Examination Priorities – we are reminded of how complex compliance can be for SEC-registered firms. As Duff & Phelps’ Chris Lombardy explains, this year is no exception. In its 2019 Examination Priorities, issued on December 20, 2018, OCIE has outlined six themes that...

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