The Definitive Voice of, and Advocate for, Florida Securities Firms and Investment Advisors for More Than 80 Years.
SECRETARY - BART MCDONALD
Bart J. McDonald is the Executive Vice President and Chief Operating Officer of Renaissance Regulatory Services. Bart is responsible for RRS’ investment advisory practice and has over twenty years of public/private sector regulatory compliance experience. His experience includes a unique combination of advising and auditing investment advisers, private funds, broker-dealers, investment companies and business development companies relative to federal, state, and self-regulatory rules and regulations.
As a consultant, Bart has conducted hundreds of compliance engagements to assess adherence to securities industry rules and regulations. His clients have included the largest multinational investment advisers, broker-dealers, private funds, banks, law firms and regulatory organizations. Bart has extensive experience with all aspects of securities regulation, including portfolio management, performance marketing, soft dollars, trading, sales practices, branch office supervision, financial audits, internal controls, and registrations. In addition, he has guided hundreds of FINRA members through the FINRA New Member and Membership Continuance process. Bart previously managed the broker-dealer registrations department of a major compliance consulting and outsourcing business.
As a regulator, Bart was a Branch Chief and Compliance Examiner with the Securities and Exchange Commission’s Southeast Regional Office, he was responsible for planning, conducting, and supervising complex financial, operational and sales practice examinations of investment advisors, private funds, broker-dealers, and investment companies. Bart also managed inspections of FINRA District Offices and oversight examinations of the NYSE and FINRA. Bart provided investigative support to the SEC’s Enforcement staff on matters relating to fraudulent distributions and manipulation of securities, misappropriation of customer funds, material misrepresentations, unregistered broker-dealer and investment advisory activities, and undisclosed compensation. In addition, Bart participated in several regulatory task force sweep examinations with the SEC, SROs and state regulatory bodies.
Over the course of his career Bart has been quoted in industry periodicals and asked to speak at regulatory and industry training programs. His presentations include Compliance Program Structure, Portfolio Management, Custody, Best Execution, Code of Ethics, Soft Dollars, Electronic Communications, Performance Advertising, and the SEC’s Chief Compliance Officer Outreach Seminar.
Bart received a Masters in Business Administration and a Bachelor of Arts in Economics from Florida Atlantic University. He also holds the Certified Regulatory Compliance Professional designation from the FINRA Institute at Wharton, the NSCP Certified Securities Compliance Professional designation, and the CAMS Certified Anti-Money Laundering Specialist designation.