A pioneer in providing outsourced compliance services to investment firms, Fizza Khan is an expert on regulations governing investment advisers, broker-dealers and registered and private funds. Through leadership positions at compliance consultancies, in-house legal counsel and compliance roles at various financial institutions and law firm practice, Fizza developed an approach for her clients that calibrates best practices with their business realities. Having personally handled numerous SEC examinations while in-house and as a consultant, Fizza knows how to satisfy regulator expectations without creating unmanageable complexity.
As former insiders who have lived investment firm pace, the Silver team asks the right questions and concentrates on real issues
Prior to founding Silver Regulatory Associates, Fizza was the Chief Operating Officer for U.S. Compliance Consulting and a Managing Director at Duff & Phelps. She joined Duff & Phelps in January 2016 as a result of their acquisition of CounselWorks LLC where she was a Partner. At both Duff & Phelps and CounselWorks, Fizza managed the day-to-day provision of compliance services to the firm’s clients and built the foundations upon which advice was given.
Fizza developed her insider perspective from her experience at a wide range of financial institutions. As senior counsel and the U.S. Chief Compliance Officer for DKR Oasis Management, a global private investment fund manager, Fizza was responsible for all U S. regulatory matters and supervision of domestic employees. As Chief Compliance Officer for the private fund business of Sandler O’Neill Advisors, a full service investment management, investment banking and brokerage firm, Fizza registered the firm with the SEC as an investment adviser, developed and oversaw its Advisers Act regulatory program and was responsible for the firm’s FINRA compliance. She also successfully managed a number of formal SEC and FINRA regulatory examinations. As in-house counsel at Deutsche Banc, Fizza advised numerous registered and private fund managers as to fund and advisory entity structuring, prepared their SEC regulatory filings and, for the registered funds, performed analysis required by the Investment Company Act of 1940.
As an associate in the investment fund practice at Kramer Levin, Fizza specialized in the formation and management of registered and private funds.
Fizza received a Bachelor of Science in Business from Drexel University, where she concentrated on Finance and Economics and published a thesis on the effects of derivative trading regulation. She earned a law degree from the University of Maryland School of Law.
Expert in policy writing and implementing regulatory controls, Trysha Daskam specializes in interpreting SEC regulations and developing realistic compliance policies and procedures for investment firms. Trysha is particularly adept at assessing risk associated with conflicts of interest and helping clients find compliance approaches that are in line with best practices and sustainable at their firm. A seasoned sustainability practitioner with an academic background unique to the industry, Trysha specializes in managing ESG strategy for investment firms.
Trysha’s interest in ESG began during her graduate work building financial models that showed the social and financial returns of investment in international health initiatives. Bringing this experience to the financial services industry, Trysha now develops ESG policies and procedures for firms, helps them respond to investors’ ESG questions and designs ESG reporting processes. Trysha is an officer of the Sustainability Investment Leadership Council.
Prior to joining Silver Regulatory Associates, Trysha was a Vice President for U.S. Compliance Consulting at Duff & Phelps, which she joined in January 2016 as a result of their acquisition of CounselWorks LLC. The development of Trysha’s current ESG practice began at Duff & Phelps, where she was a global point person addressing ESG issues and completing ESG projects for a wide base of clients in different sectors.
Trysha developed her in-house perspective as an associate at Universal Investments, LP, a hedge fund manager, where she was part of the team managing the firm’s business operations and involved in both mock and actual SEC exams.
Trysha received a Bachelor of Science in Biological Sciences from the University of Denver and a Masters of Public Health from The George Washington University where she dually concentrated on international economics and global health policy.
With more than a decade of regulatory compliance experience, Nicholas works with investment advisers and broker dealers with respect to their registration with regulatory authorities, implementation of their compliance programs and preparation for regulatory audits.
Previously, Nicholas served as the deputy director of compliance at Commonwealth Opportunity Capital (CWOC), an SEC and CFTC-registered adviser that employed global macro strategies. There he ensured the completion of numerous aspects of the compliance program including the development and execution of policies and procedures, administration of forensic testing, the management of compliance trainings and as the cybersecurity responsible officer. Prior to CWOC, Nicholas was an associate director at CounselWorks LLC, a regulatory and business strategy consulting firm to investment advisers and broker dealers.
Nicholas holds a Bachelor of Science in Business Administration from Saint Joseph’s University and is proficient in Italian.
Already experienced in a wide array of compliance issues, Chase Turnage does the heavy-lifting in registering firms and maintaining and assessing their compliance programs. Chase’s involvement extends from preparing regulatory filings to routine reviews of marketing material and employee disclosures and executing testing and assessment plans.
Prior to joining Silver Regulatory Associates, Chase was a Senior Associate for U.S. Compliance Consulting at Duff & Phelps where he was also involved in registering firms and their personnel with regulators, Mock SEC Exams and portfolio guideline and expense allocation reviews.
Chase gained his insider perspective as a Compliance Analyst at Cetera Financial Group, which provides broker-dealer services, technology solutions and advisory programs to financial professionals and institutions. While at Cetera, Chase helped Cetera’s Risk Management and Compliance team launch a personal trading platform for multiple Cetera broker-dealers. Chase also assisted Cetera’s Compliance Controls team with their review of outside business activity disclosures and the development of continuing education.
Chase received a Bachelor of Administration in Business, Operations and Systems Management from Marymount California University.
Experienced in compliance reviews and investigative processes, Travis Burkel specializes in compliance platform management and acts as a liaison between Silver’s clients and their compliance monitoring platforms.
Prior to joining Silver Regulatory Associates, Travis was an investigator for the United States Department of Agriculture where he investigated financial crime within the livestock industry. Travis was also involved in conducting various compliance and regulatory reviews for the USDA.
Travis received a Bachelor of Science in Food Safety and a Masters in Economics from the University of Arizona where he focused on econometric analysis.