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.
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