David Boch regularly advises clients on all aspects of compliance with federal, state and SRO regulations applicable to investment companies, investment advisers, broker-dealers and transfer agents. He also regularly advises firms on issues relating to the distribution and sale of mutual funds. He advises clients concerning the design and implementation of supervisory and compliance programs, the review of existing policies and procedures, the preparation for and conduct of examinations and registration issues. David also conducts internal investigations on behalf of management and independent directors and/or trustees and frequently represents clients in regulatory proceedings before the SEC and FINRA, and defends clients in private litigation in both state and federal courts and arbitrations. He has been repeatedly recognized as a leading lawyer in Chambers USA for Securities Regulation and Enforcement as well as Broker-Dealer (Compliance). Clients praise him for his “practical approach to complex broker-dealer enforcement issues,” his “technical ability” and “subject matter expertise” in the regulatory enforcement sphere.

David speaks regularly at FINRA conferences and industry association meetings, including the SIFMA Annual Compliance and Legal Seminar.