Services
Protection for the business, the principals and the people
Apex manages existential risk by working the intersection of law, finance and government — and by making the consequences real to the people who take the risk.
Today's environment is a delicate balance. The Yates Memo, Newman, Salman and Blaszczak, expert-network and alternative-data scrutiny, and a steady drumbeat of headline prosecutions have shifted the landscape. There is a way to mitigate that risk and still run a high-performing investment team.
Apex delivers critical enforcement and market expertise: real-world analysis, training and application that supplements the compliance program administered by your internal team and outside counsel. Because finance is ultimately about confidence — and even the smallest indication of impropriety can sink the ship, and everyone in it.
Hedge funds & broker-dealers
Annual conduct training
A live session for the whole investment team — PMs, analysts, traders, and compliance — that pairs the realities of the desk with the hypothetical world of law-firm memos and policy manuals.
- What it covers. MNPI and the "personal benefit" test after Newman and Salman; expert networks, channel checks and alt data; the Yates Memo and individual liability; how investigations actually start; and the "spoken and unspoken" messages — compensation, vendors, management tone — that confuse people at the field level.
- How it's delivered. On-site or remote, 60–120 minutes, with an unscripted open floor. Sessions are tailored after a scoping call with the CCO or GC.
- What you get. A private debrief for compliance, attendance certificates for the file, and an annual training that people actually talk about afterward.
Symposia & conferences
Keynotes that hold the room
Michael has spoken at IA Watch's Commitment to Compliance conference, industry symposia and private GC and CCO roundtables. Sample topics:
- Insider trading & other ethical blind spots in the workplace
- What the Feds see: how a routine trade becomes a federal case
- After Newman: what the personal-benefit test means on the desk
- Culture, compensation and the real sources of misconduct
Academia
Guest lectures and case studies
For law schools, business schools and ethics programs: a first-person case study in how securities-fraud law is made, prosecuted and defended, and what it does to the people caught inside it. Formats range from a single guest lecture to a multi-session module with a written case.
guarantees
This will be unlike any compliance training you have ever received. And if you are not completely satisfied, the fee is waived.