Verified recordBusiness Consulting and Services

Edward Wiles

Senior Consultant at Aca Group

Based in Austin, United States

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Seniority

Manager

Department

General Business & Management

Location

Austin

Industry

Business Consulting and Services

Company size

1.6K

Contact information

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e•••••••@acaglobal.com

Phone

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Background

About Edward Wiles

Compliance & Legal support for Broker Dealer/Investment Adviser and Mutual Fund companies Familiar with SEC, FINRA, MSRB and related regulations regarding above entities Elected to FINRA District 11 Committee for 2009-12 Member FINRA District 11 Committee - 2008-2009 Member NASD District 3 Committee - 1994-1997 (Chairman 1996-7) Former Chairman - Investment Company Institute - UIT Committee 1985-86 Former Chairman - Unit Investment Trust Association 1983-85 Admitted to the Bar in CA, IL & DC Insurance Licensed in TX Because of my current assignment, I have temporarily dropped my securities registrations. I held Series 7, 24, 53, and 65 registrations until I dropped them in Sept. Specialties: Retail Broker Dealer and Investment Adviser Compliance Issues Mutual Fund Counsel Financial Institution Networking programs

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