Category: Alerts

Alaric Compliance Alert: Erik Dolan Joins Alaric to Lead Municipal Advisor Compliance Practice

NEW YORK, April 2019 – Alaric Compliance Services, LLC announced that Erik Dolan, previously with the Municipal Securities Rulemaking Board (MSRB) will lead the firm’s Municipal Advisor compliance initiative.

Mr. Dolan is an experienced regulatory compliance and risk management professional with over 20 years of experience in the financial services arena. He has served on the compliance teams of investment companies, investment advisers, and broker dealers, and as a regulator for over 12 years with three major regulatory bodies: Municipal Securities Rulemaking Board (MSRB) Market Regulation; Financial Industry Regulatory Authority (FINRA), Enforcement Division; and the United States Commodity Futures Trading Commission (CFTC), Department of Enforcement.

Before joining Alaric, Mr. Dolan was the Director, Professional Qualifications, for MSRB where he was responsible for managing the MSRB’s professional qualifications program including the creation and execution of the current MSRB qualification examinations and was a voting member on the Securities Industry/Regulatory Council on Continuing Education.

“We’re delighted to have someone with Erik’s experience lead this initiative,” said Guy F. Talarico, Founder and CEO of Alaric. “His expertise will help us leverage our core regulatory compliance business to better serve the compliance needs of municipal advisors.”

Alaric can assist municipal advisors throughout their business life cycle, from start-ups needing registration services or a new compliance program to mature businesses looking for help in the ongoing administration, monitoring and testing of their compliance program. Alaric offers senior-level compliance expertise to help municipal advisers anticipate and navigate risks and ensure compliance with applicable laws, rules and regulations.

We serve a broad range of clients, including traditional dealer and non-dealer municipal advisors, and third-party solicitors.

To learn more about Alaric’s Compliance Solutions for Municipal Advisors or to schedule an appointment, please contact Erik Dolan, at EDolan@alariccompliance.com or 1-888-243-2448. We look forward to working with you.

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