Sunstone’s New Compliance Officer Creates Transparency, Confidence & Trust

Welcome back to The Sunstone Way.

Exciting news here at Sunstone Central this week with the arrival of our new full-time onsite Chief Compliance Officer, Heather Lewis.

Never fear, we have been well served in making sure we follow all the rules and regulations of the Securities and Exchange Commission (SEC) and FINRA (Finance Industry Regulatory Authority). Sue Terenzio, a director and senior consultant with Renaissance Regulatory Services, Inc., has been with us since the beginning, and has done a great job on all the levels of regulatory compliance we face daily.

And we’ll continue to have the benefit of Sue’s expertise as she stays on in a consulting role.

All About Heather

I think we’ve found a gem in Heather, who has been in the compliance business for more than 17 years. Her experience has stretched across many of the business sectors we address, from real estate investment to alternative investment approaches. She is well-versed in the nuances of SEC and FINRA, and how the folks in those agencies implement their rules.

One of the things I like best about Heather is her passion for helping others as they start their professional journeys. As an active member of the National Society of Compliance Professionals, she mentors many newcomers, and pays special attention to women entering the fields of compliance and finance.

And, like me, she has a son in middle school, so we have lots of stories to share.

Why It Matters

I have to admit, I’ve always been a bit of a rule follower. It started when I began playing sports – any sport is dependent on rules to make it fair – that’s where the phrase “level playing field” came from.

And I spent a number of years as a public school teacher. Is there any other arena where rules are more important?

Here’s one – the financial services industry. The Securities and Exchange Commission was created in 1933-34, in the midst of the Great Depression. Congress started it as a response to the stock market crash of 1929 and it has evolved to protect the American people as they invest in businesses here.

Providing A Service

There have been many changes in the last 90 years, and the rules have become increasingly complex as the businesses the SEC tries to regulate become more complex. I believe it is our responsibility to our partners – founders, investors, governments and more – to be on top of all those changes and how it will impact them.

Yes, I said founders. SEC and FINRA regulations impact startup businesses in several ways, from reporting requirements to soliciting capital support. But founders are understandably preoccupied with the basics of making their own business work; we want to be there to help them stay on the good side of the regulators.

This is how we set Sunstone Management apart from the crowd. Our goal is to keep everyone safe and protect their hard-earned resources, secure in the knowledge that Sunstone is following all the rules, and that we always make them aware when changes in the rules occur.

That’s why we asked Heather to join the Sunstone team. That’s the Sunstone Way.

And as always, be a Sunstone!

John Keisler

CEO & Managing Partner

Sunstone Management, Inc.

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More About Sunstone Management
Sunstone Management is a diversified private capital sponsor firm headquartered in Southern California that invests in diverse early-stage technology entrepreneurs who seek to build great companies. We believe in the aspirational power of the American economy to attract and inspire investors and entrepreneurs from throughout the world. We deliver new and exciting opportunities for economic growth through the creation of innovative public-private partnerships, and our unique experience across government, education, and private sectors. Identified by Financial Times as one of America’s Fastest Growing Companies three years in a row. In the second quarter of 2023, PitchBook ranked Sunstone the seventh most active early-stage venture capital firm in the country, and 18th overall.

© Sunstone Management Inc., 2024

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