Consumers need to do their due diligence when selecting a Trusted Advisor
Tito Pombra is the President of Core Compliance & Legal Services, Inc.SM (“Core Compliance”), a compliance consultation firm which services broker-dealers, registered investment advisers, hedge funds, private funds, investment companies, and financial professionals joins Enterprise Radio.
Listen to host Eric Dye & guest Tito Pombra discuss the following:
- What’s the first thing a consumer should do when looking for a financial/investment advisor?
- Is there a notable recently case that will give listeners of an idea of how big fraud can get?
- How does a consumer conduct a background check?
- What are common red flags they should be aware of?
- What should you do if you have an advisor and suspect fraud?
Tito Pombra is the President of Core Compliance & Legal Services, Inc.SM (“Core Compliance”), a compliance consultation firm which services broker-dealers, registered investment advisers, hedge funds, private funds, investment companies, and financial professionals. Over the years, Mr. Pombra has garnered extensive experience in the global asset management industry, which includes over twenty-two years in the Investment Company/Investment Adviser and international compliance areas.
Mr. Pombra specializes in investment company and investment adviser regulatory compliance programs. His consultation practice is focused on the areas of regulatory exams, annual reviews, creating a strong culture of compliance, policies and procedures development, testing of compliance programs, performance advertising, and mentoring and training compliance professionals.
As the former Chief Compliance Officer of Matthews International Capital Management, LLC (“Matthews Asia”) and Matthews International Funds (d/b/a Matthews Asia Funds), Mr. Pombra established his command of the compliance industry. As the CCO for Matthews Asia he was responsible for managing the compliance and anti-money laundering programs of the Investment Company, Investment Adviser and off-shore funds, and assisted with the compliance programs of Matthews Global Investors, Hong Kong and UK, registered broker-dealers. In addition, he oversaw the Matthews Asia Funds service provider’s compliance program under Rule 38a-1. During his tenure, Mr. Pombra was also the AML Officer for the Matthews Asia Funds and MLRO for the Matthews Asia Funds (Luxembourg).
People also listened to this: The Prepared Investor with Christopher R. Manske