Mederic Daigneault
Senior Consultant
Investment Adviser Services

As a Senior Consultant in Investment Adviser Services at NRS, Mederic works closely with officers to identify their advisory firm’s regulatory obligations, conflicts of interest and other risks to assist in the development, implementation and testing of comprehensive compliance programs tailored to each firm’s practice. Mederic conducts on-site mock SEC examinations of advisers of various sizes from intricate hedge fund complexes to one-person financial planning firms. Areas reviewed include, as applicable, the latest developments in compliance: annual reviews, code of ethics, soft dollars, disaster recovery, best execution, side-by-side management issues and other areas. During his time at NRS, Mederic has drafted or revised Forms ADV for over 100 investment adviser firms at both the state and federal level. Mederic is a frequent speaker at NRS Conferences as well as topical live and desktop seminars. He is also an expert lecturer in the Certified Compliance Program co-sponsored by NRS and the Investment Adviser Association and a contributor to various industry publications on various compliance topics.

Before joining NRS, Mederic practiced law as a corporate and securities attorney with a securities law firm. As an attorney, Mederic provided guidance and legal counsel to regional, national and international business entities and financial institutions, including insurers, broker-dealers and investment advisers, concerning compliance with the laws and regulations that govern these businesses. Before entering law school, Mederic worked as an Annuity Account Manager at the Travelers Life & Annuity Co. where he maintained a Series 6 license with the NASD.

Mederic is a member of the Connecticut and New York bar associations and received his law degree from Boston College Law School. He graduated Phi Beta Kappa from Wesleyan University with a Bachelor of Arts degree in English.