- Development of Compliance Programs for Registered Broker-Dealers and Investment Advisers
- SEC, State, and Regulatory Agency Filings and Registrations
- Compliance Technology Implementation
- Email and Personal Trading Reviews
- Policy and Procedure Development
- Branch Audit Exams and Risk Assessments
B.S., Florida State University
Christopher Hufty is a former multi-state securities regulator with a distinct approach to regulatory compliance. His analytical focus and strategic methods to identifying compliance risks and vulnerabilities are an asset to Core Compliance & Legal Services, Inc. SM (“Core Compliance”). Mr. Hufty’s unique experience and understanding allow him to identify potential compliance risks and craft custom solutions for his clients.
As a Compliance Consultant at Core Compliance, Mr. Hufty is dedicated to aiding clients in their continuous efforts to enhance their compliance programs in a constant evolving industry. Using his regulatory experience, Mr. Hufty is able to effectively communicate and help others use compliance technologies and internal control development to help with risk mitigation.
Mr. Hufty’s consultation efforts focus on the development of compliance programs for Broker-Dealers and Investment Advisers, analysis of data, including registration and other regulatory filings, email and personal trading; updating policies and procedures; and advancing compliance programs through the use of technology.
Prior to joining Core Compliance, Mr. Hufty was a Financial Examiner with the Texas State Securities Board and Florida Division of Securities, where he conducted audits and investigations of registered broker-dealers and investment advisers.