Larry Nakamura

Larry Nakamura has over 25 years of experience working helping financial services firms successfully navigate their regulatory obligations. Larry is the Vice President, Compliance of Corient. Prior to being appointed to this position, Larry has served in numerous roles including executive leadership positions, and regulatory consultant where he worked with Registered Investment Advisors, Mutual Funds Complexes, Transfer Agencies, and other regulated entities. Larry’s extensive real-world experiences helped him lead the design and development of a multi-lingual direct-access trading platform for high frequency trading, and real-time back-office risk management tools with Nexa Technologies, Inc., a firm he co-founded in 1998. Larry is a frequent lecturer at NRS sponsored events and for the Investment Adviser Compliance Professional Program (IACCP) co-sponsored by NRS and the Investment Adviser Association (IAA). Larry is an IACCP designee and holds a PFP professional designation from the University of California, Los Angeles Extension. Larry has previously held the NASD (FINRA) Series 4, 7, 24, 55 licenses.

3b. ALL - Tactical Steps to Protect the CCO from Liability (Intermediate)