Betty provides compliance guidance and full support to registered and exempted investment advisers to hedge funds, alternatives assets (private equity, real estate, CLOs, etc.), broker-dealers, as well as to CFTC-registrants engaged in futures contracts, commodity options, retail off-exchange forex contracts or swaps. She has led and supported numerous regulatory examinations involving a wide variety of regulatory questions across different areas of compliance, preparing key personnel for compliance regulatory interviews and drafting responses to regulators. Betty frequently is asked to advise on complex matters that pose a heightened regulatory or enforcement risk. She provides trusted advice with tailored solutions to help clients navigate their obligations under applicable rules, regulations, policies and procedures.
Betty also advises on issues relating to material non-public information, including engaging expert networks and other research consultants. She handles ad-hoc compliance questions and provides appropriate advice on issues arising from, for example, conflicts of interest, fees and expenses, outside business activities, Custody Rule obligations or fiduciary duty obligations. Further, she ensures clients’ compliance with advertising and cash solicitation rules. Betty works with clients to develop, enforce and continuously strengthen their compliance programs. She helps them to evaluate whether they foster a strong compliance culture and whether key personnel set and follow a tone-at-the-top that is commensurate with a strong ethical and compliance environment—which in turn is reasonably designed to detect and prevent misconduct.
Prior to her consulting work, Betty was a compliance officer at Diamondback Advisors. In her previous role at Diamondback Advisors, she developed, enforced and continuously strengthened the compliance program of a multi-strategy registered investment advisor in accordance with the Investment Advisers Act, in particular Rule 206(4)-7. She collaborated regularly with the chief technology officer, IT developers and operations department to develop efficient and automated solutions for surveillance and testing of the adviser’s compliance program to monitor and prevent violations of the Investment Advisers Act and the adviser’s policies and procedures.
Betty holds a bachelor’s degree in business management from Gorzow Wielkopolski University in Poland and a master’s degree in finance from the University of Szczecin in Poland.
