Ruddy Gregory, PLLC Strategic + Legal Counsel

As Partner and Head of Financial Regulation & Cybersecurity at the law firm of Ruddy Gregory, PLLC, Paul Caulfield serves as a bridge between our risktech solutions for the Alternative Investment Management and Banking communities and traditional legal services and strategic counsel. 

View his practice here, which includes: 

• Financial Services - Regulatory Compliance, Supervision Management & Enforcement Defense, covering the breadth of State, Federal and Foreign Regulatory Oversight, including negotiating and resolving public and private enforcement actions and investor litigation

• Cybersecurity - Program & Crisis Management, with focus on funds recovery, law enforcement engagement, litigation defense and communications

• Financial Crimes - Risk & Technology Management, including BSA/AML Remediation, Insider Trading, Market Manipulation, Conflicts of Interest, Fraud Investigations, Sanctions and related technologies, models & applications

• Compliance - Gap Assessments & Testing, including point-in-time & supervisory examination readiness reviews for banks, B-Ds and RIAs.

• Financial Technology & Blockchain, including brokering licensing and compliance requirements and working with IP and investment counsel across traditional finance and decentralized finance (DeFi) and digital assets

• International Reach, with demonstrated success facilitating effective operations,  enterprise risk management and cross border compliance in India, Israel and China, and throughout Latin America, working with global founders and CEOs.