Risk Advisory Services
Boca Raton, FL
Bao was a recipient of the Top 40 Under 40 professional by the South Florida Business Journal.
Bao Nguyen is a leader in Kaufman Rossin’s risk advisory services practice, with expertise in recognizing and assessing compliance risks for broker-dealers, investment advisers, and hedge funds.
He provides clients with compliance solutions, such as annual compliance program reviews, anti-money laundering independent testing, supervisory control risk assessments, fraud investigations, and customized compliance or product reviews. He has also assisted clients with broker-dealer and investment adviser registration with FINRA, the states, and the Securities and Exchange Commission regulatory examinations and investigations.
Prior to joining Kaufman Rossin, Bao was the chief compliance officer for a broker-dealer and registered investment advisor in South Florida. He was responsible for developing and implementing the firm’s supervisory systems to comply with federal and state securities law and FINRA Rules and Regulations. In addition, as the anti-money laundering compliance officer, he was responsible for compliance with the USA PATRIOT Act and Bank Secrecy Act (BSA).
Bao’s experience also includes being a lead examiner with FINRA for six years, where he examined FINRA member firms with respect to sales practice and financial reviews to determine compliance with federal and FINRA rules and regulations.
He is a frequent speaker at various conferences and an author with published articles in Bloomberg BNA and ACAMS. In addition, Bao is frequently quoted in various publications such as, ACAMS.com, IA Watch, PAM Magazine, WealthManagement.com, and Compliance Week. He was a recipient of the Top 40 Under 40 award by the South Florida Business Journal.
Active in the community, Bao serves on the board of Families First of Palm Beach County Foundation and is the executive board member of the ACAMS South Florida Chapter.
He is a Certified Anti-Money Laundering Specialist (CAMS) and Certified Fraud Examiner (CFE). Bao also received his Certified Regulatory Compliance Professional (CRCP) from Wharton School of the University of Pennsylvania. Bao earned a bachelor's degree in finance and marketing, and a Master’s of Business Administration from Florida Atlantic University.
- US Brokerages Still Challenged by Microcap Securities: Regulator
- Crafting Effective and Compliant Policies and Procedures for Hedge Fund Managers Engaging in Cross Trades
- Bao Nguyen Named Risk Advisory Services Principal at Kaufman Rossin
- U.S. Broker-Dealers Revamp AML Programs Ahead of Customer Due-Diligence Rule
- New Sentencing Guidelines Signal Consequences for Banking Marijuana Firms
- FinCen Rule Delayed Indefinitely by Regulatory Freeze, Other Factors: Sources
- Best Practices for Hedge Fund Managers Conducting an Effective Annual Compliance Review (Part Two of Two)
- Best Practices for Hedge Fund Managers Conducting an Effective Annual Compliance Review (Part One of Two)
- Catching the Drift: Legal and Practical Considerations for Hedge Fund Managers Who Deviate from Their Stated Investment Strategy
- AML Compliance: Is Your Independent Test Really Independent?
- U.S. Wealth Managers Grit Teeth and Prepare for Labor Rule
- Investment Advisers: Get Ready for Potential New Anti-Money Laundering Rules
- AML Regulations in NY Force CCOs to Rethink Everything
- Is Cybersecurity a Priority for Your Investment Firm? It is for Regulators
- Time to Get Ready for SEC Cybersecurity Examinations – Phase 2
- Kaufman Rossin’s Bao Nguyen Selected as ‘40 Under 40’ Honoree
- Wirehouses Build Out International Teams to Balance Risks, Rewards
- Regulators See AML Risks in Funding Portal Plan
- What Broker-Dealers Can Learn from FIBA’s AML Compliance Conference
- How Financial Firms Can Meet Cybersecurity Expectations
- Regulators Issued Fewer AML Fines in 2014, But Packed a Bigger Punch
- How U.S. Financial Institutions Can Manage FATCA and AML Risks in LATAM
- Proposed FinCEN Rules Define Beneficial Ownership
- SEC Finds Compliance Failures at 16 Brokers Trading Microcaps, Fines E*Trade
- Kaufman Rossin’s Bao Nguyen to Speak at ACAMS Conference
- Kaufman Rossin in the Community: Families First of Palm Beach County
- Top 10 Takeaways from 2014 FINRA Conference
- Kaufman Rossin's Bao Nguyen Appointed to Executive Board of ACAMS in South Florida
- More Actions You Can Take to Buttress Your Firm's Cybersecurity
- Bao Nguyen Appointed to Foundation Board of Families First of Palm Beach County
- Cybersecurity Threats From Main Street to Wall Street
- Proposed FINRA Rule May Be Game Changer for Broker-Dealers
- Top 2014 Regulatory Priorities for B-Ds
- Part 2: Broker-Dealers – What’s Your Priority for 2014?
- Part 1: Broker-Dealers – What’s Your Priority for 2014?
- FINRA Fine Sends a Warning: Clearing Firms Must Know Their Customers, Uncover Suspicious Activity
- For the Record: Crowdfunding Regulations
- AML Costs of SEC Crowdfunding Proposal May Exceed $100,000 Per Business
- Broker-Dealer Anti-Money Laundering Compliance: The Untenable Chase of Perfection
- Audits of Securities Firms Should Account for International Growth, Political Events: Consultants
- Kaufman Rossin Expands Broker-Dealer Practice with Nick Hartofilis and Bao Q. Nguyen