Legal and Compliance
Our Legal and Compliance team ensures that CAIS meets all applicable regulatory requirements in the markets in which we serve. The team calls upon its significant depth of industry experience to ensure a responsive and compliant legal environment as CAIS continues its mission of wealth management innovation.
Michael Richman is responsible for firm legal, compliance and regulatory affairs. He has over 10 years of experience, with a focus on alternative investments and wealth management, having worked at firms including Fortress Investment Group and UBS.LinkedIn
Andrew Lyons is responsible for assisting the firm with legal, compliance, and regulatory affairs. He has over 3 years experience in the legal and compliance industry, having previously worked at firms such as National Securities Corporation.LinkedIn