PETER J. CHEPUCAVAGE
SENIOR COMPLIANCE CONSULTANT
PROFESSIONAL EXPERIENCE
Independent Consultant - May 2007 to Present
As an Independent Consultant, Peter Chepucavage, is also a Senior Compliance Consultant with Bekker Compliance Consulting Partners, LLC (BCCP) and provides offsite and on site regulatory compliance consulting services.Plexus Compliance Consulting, LLC - June 2005 to Present
Director of Compliance Consulting Plexus offers consulting services for broker-dealers and hedge funds in addition to its primary business of Association consulting and foreign government consulting.Securities and Exchange Commission - November 2001 to February 2005
Attorney Fellow Worked primarily in the business continuity and Regulation SHO areas. I was involved in the drafting of Regulation SHO and the Married Puts release. Also involved in numerous Regulation M enforcement cases and securities futures.Fulbright & Jaworski - January 1998 to July 2001
Counsel Practice was devoted primarily to the representation of broker-dealers and investment advisers including hedge funds in both law and derivatives. Fulbright's Financial Institutions Practice Group in New York provides a broad range of services with an emphasis on representation of foreign and domestic brokerdealers, investment advisers and investment companies. The office regularly counsels a dozen broker-dealers including specialists, day trading firms, clearing firms, a stock exchange and at least 15 investment advisory firms, six registered investment companies and over 25 domestic and offshore private investment funds.Nomura
Managing Director
General Counsel
Corporate Secretary
July 1984 to November 1997
"Nomura" is the U.S. subsidiary of Japan's largest Broker-Dealer. As its first General Counsel, I was involved in counseling the firm on broker-dealer and investment advisor compliance, "Government Securities" trading, corporate finance, derivatives, general corporate matters and litigation. I also had responsibility for the Internal Audit and Compliance departments with total personnel of 50 people. In addition, I assisted the firm in the development of an International Investment Company and a number of Country Funds. I also helped develop and counseled the firm's Credit Committee, New Products Committee and Management Committee and was Chief legal Officer of its derivatives affiliate.
National Association of Securities Dealers, Inc.
Assistant General Counsel
September 1975 to June 1984
Duties included Broker-Dealer Regulation, Appellate work before the S.E.C. and Federal Courts, General Corporate work and some Legislative Analysis. Supervisory responsibility included the scheduling and administration of Board of Governors appeals and other matters.