Conflicts Expert Witnesses
Conflicts expert witnesses and consultants listed here may be able to form expert opinions, draft expert witness reports, provide expert witness testimony at deposition and/or trial as or serve as consulting (non-testifying) experts on conflicts. The conflicts expert witness listings on this page are typically from fields/areas of expertise such as: Securities & Investments.
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Andrew D Schuster
Advisers Act Expert - Former SEC Exam Manager
ClearView Regulatory Compliance, LLC
WOODRIDGE, Illinois
Securities & Investments
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Investment Advisers Act, SEC Examinations, Investment Adviser Compliance, Fiduciary Duty, SEC Enforcement Defense, Fraud Examination / CFE, Private Funds, Policies, Supervision Failures, Compliance Program Failures, Conflicts, Marketing Rule / Advertising, Form ADV / Disclosure, Advisers/Advisors, SEC, Testing, Internal Controls
Andrew Schuster, IACCP®, CSCP-IA, CFE
Andrew Schuster is a former U.S. Securities and Exchange Commission (SEC) Exam Manager and Branch Chief with nearly 28 years of SEC regulatory experience. He is a securities compliance expert specializing in investment adviser regulation, investment company compliance, private funds, hedge funds, and SEC examination practices.
During his SEC career in the Chicago office, Mr. Schuster progressed from Securities Compliance Examiner to Branch Chief and Exam Manager, where he led examination teams and directed all phases of SEC examinations of registered investment advisers and investment companies. He conducted and supervised more than 500 examinations involving registrants managing more than $1 trillion in assets.
Mr. Schuster’s SEC examination experience includes evaluating compliance with the Investment Advisers Act of 1940 and the Investment Company Act of 1940, including compliance programs, policies and procedures, fiduciary obligations, d...
