Helane Morrison And Her Experience In Enforcing Compliance

I have seen and observed the work of Helane Morrison as the Chief Compliance Officer. She is working with a large advisory firm, Hall Capital Partners LLC. This is based in San Francisco. She is a member of the Executive Committee of the company.

 

 

Helane Morrison speaks about how the economic crash of 2008 made people lose their trust in the finance industry. They started taking their finance in their own hands. But Helane Morrison wants to change this. She wants to bring back this trust. This is possible only by enforcing accountability. There needs to be integrity as well as regulatory compliance in all kind of corporate dealings.

 

 

I know Helane Morrison as an assertive and sharp lady. She is firm in her dealings and hardworking too. She has managed to create a good impression this way in the field of compliance.

 

 

In case any investment is made by her for any client, it will be solid as well as ethical. Her company employs a team of professionals. They ensure that every brokerage firm or financial advisor or even a mutual fund advisor goes through a series of investigations before the firm’s trusts it with the money of their clients.

 

 

I also know about the team of enforcement staff employed by Helane Morrison. In case any anomaly is suspected anywhere at any time, there will be disciplinary action enforced by this team. This can include correction practices and can even go up to pressing criminal charges against it.

 

 

Helane Morrison had joined Hall Capital in 2007. Prior to this, she was heading the U.S. Securities and Exchange Commission‘s office in San Francisco. This was from 1999-2007. She was involved in enforcing securities and was dealing with litigation matters. She was also looking into and regulatory compliance. This was in Northern California as well as the five Northwest States where she was the Regional Director.

 

 

Morrison has represented the SEC in a number of legal issues, besides business relations along with financial communities as well as government agencies. During this time, she was also dealing with fraud cases that involved top executives who were employed with top companies that included Google, and Hewlett-Packard and NextCard Inc, besides HBO and other.

 

 

I know Helane Morrison for having exposed that sale of false securities which was made by American Amicable, the insurance company. This was sold to nearly 50,000 personnel from the military.

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