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Peter is managing director and Head of U.S. Compliance Consulting at Duff & Phelps. He specializes in counseling a variety of investment advisers, including those managing hedge funds, private equity and real estate funds. 

With over 15 years of legal and regulatory experience, Peter has worked extensively with private fund managers. His expertise includes designing compliance programs, implementing industry best practices, conducting mock regulatory examinations, supporting regulatory filings and performing operational due diligence. Peter also has significant experience guiding advisers through regulatory examinations and corresponding with federal and state securities regulators.

Peter held numerous senior level management positions within the asset management industry. Prior to joining Duff & Phelps, he served as Chief Compliance Officer and legal counsel for several SEC-registered entities, including an investment adviser to a global multi-billion dollar fund-of-hedge funds and a number of mutual funds. Peter also served as Chief Compliance Officer at a CFTC registered swap execution facility where he oversaw firm-wide compliance management and strategy, designed operational systems and implemented robust controls to promote sound governance of the trading platform. 

Peter began his legal career in the U.S. Army JAG Corps, where he held numerous positions including prosecutor and criminal defense trial attorney. He is admitted to practice law in New York, Connecticut and before the U.S. District Court for the Southern District of New York.

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Global Regulatory Outlook 2021

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Quarterly U.S. Regulatory Roundup – Fourth Quarter 2020

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Time to Talk About Failure

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