Primary Job Title Vice President of Compliance Primary Organization 
Palisade Capital Management
Location San Francisco, California, United States Regions San Francisco Bay Area, West Coast, Western US Gender Male
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Michael Appleton joined Palisade Capital in March 2011 as Vice President of Compliance. Mr. Appleton’s responsibilities include general compliance matters, such as monitoring applicable regulatory developments, updating the Firm’s compliance manual and code of ethics, and working with the Firm’s marketing department on client reporting materials.
Mr. Appleton reports to Palisade Capital’s General Counsel & Chief Compliance Officer and devotes all of his time to the Firm’s compliance efforts.
Prior to joining the Firm, Mr. Appleton worked at Alaric Compliance Services where he was responsible for on-site client consulting engagements, mock SEC compliance audits, policy and procedure reviews, internal control reviews, and compliance program design. Prior to Alaric, Mr. Appleton was Chief Compliance Officer at both Dreman Value Management and Reich & Tang Asset Management.
Mr. Appleton received his B.A. in economics from Rutgers University and has successfully completed his Level I Certification from the Charles River Compliance Program.
