Darren Mooney

Darren Mooney, Vice President at Compliance Consulting based in the firm’s San Francisco office. In this role he supports the regulatory needs of investment advisers located on the West Coast. Darren works with hedge fund, private equity, venture capital, real estate, quantitative and other wealth managers to successfully implement and maintain comprehensive compliance programs.

Prior to joining Cordium, Darren was Deputy Chief Compliance Officer and Associate Counsel at F-Squared Investments. He joined at the commencement of an SEC exam and directly supported the compliance program during the investigation and subsequent enforcement regarding historical advertising practices.

Darren received a JD from Suffolk University Law School and a BS from the University of Delaware. He is a member of the Massachusetts bar.

LinkedIn: https://www.linkedin.com/in/darrenwmooney/

financial professionals

Broker-Dealers Navigate New Logistics On the heels of the DOL Fiduciary Rule’s defeat by the Fifth Circuit Court, the SEC proposed its own series of rule-makings and interpretations intended to address investor confusion about the duties owed to them by their financial professionals. As regulators debate the proposal, Cordium's Darren Mooney breaks down what it entails, and what firms should be watching for....

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