Daniel G. Viola, Partner, Sadis & Goldberg LLP to Speak at the Knowledge Group's Event.
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About Daniel G. Viola
Daniel G. Viola oversees the firm's Compliance Group. He structures and organizes broker-dealers and investment advisers and regularly counsels investment professionals in connection with regulatory matters.
Mr. Viola previously served as a senior compliance examiner for the Northeast Regional Office of the U.S. Securities & Exchange Commission (the "SEC"). During his tenure at the SEC, he worked on several compliance inspection projects involving compliance examinations of registered investment advisers to ensure compliance with the Investment Advisers Act of 1940, the Investment Company Act of 1940, the Securities Act of 1933, and the Securities Exchange Act of 1934. Mr. Viola's examination experience includes reviewing financial statements, performance advertising, disclosure documents, and investment adviser and hedge fund issues arising under ERISA and blue-sky laws.
After leaving the SEC, Mr. Viola founded VIOCO, Ltd. ("VIOCO"), which provided consulting services to registered investment advisers and broker-dealers in the field of regulatory compliance, including compliance policy planning and implementation of soft dollar reviews, mock SEC compliance audits, and compliance training for supervisory personnel. VIOCO also served as a consultant to provide mandated corrective consulting to investment advisers that were sanctioned by the SEC. From 1997 to 2002, Mr. Viola served as general counsel for Andover Brokerage LLC. Andover was a self-clearing member firm of the NASD, currently known as FINRA and a trading/technology firm that provided direct-access trading, order routing, and brokerage and clearing services to the professional traders.
Prior to joining Sadis & Goldberg, Mr. Viola was general counsel to the Carlin Financial Group ("Carlin"). Mr. Viola directly monitored all litigation, arbitration and compliance matters for Carlin and its related entities, including Generic Trading of Philadelphia LLC, a proprietary trading broker-dealer registered with the Philadelphia Stock Exchange, currently known as NASDAQ OMX.
About Sadis & Goldberg LLP
Sadis & Goldberg LLP is a leading New York based law firm focused on delivering sophisticated and creative legal solutions in a highly professional manner. The Firm is internationally recognized for its financial services practice that consists of representing several hundred investment advisers and related investment entities (including hedge funds, private equity funds and venture capital funds). Similarly, the Firm provides regulatory and compliance advice and representation in connection with SEC enforcement proceedings. Notwithstanding the emphasis on the financial services industry, the Firm also provides a full range of tax, litigation, real estate, intellectual property and corporate services to its clients.
On May 20, 2015, the Securities and Exchange Commission proposed amendments to Form ADV, Rule 204-2 (Recordkeeping Rule), and certain other rules under the Investment Advisers Act of 1940 (Advisers Act).
The amendments require investment advisers to provide additional information regarding Separately Managed Accounts (SMA), additional materials regarding the calculation and distribution of performance information, required identification of any custodians holding 10% or more of the investment adviser's SMA RAUM, and permit the 'umbrella registration' regime under which private fund advisers operating as a single advisory business may register with the SEC using one Form ADV. Concurrent is amendment of the U.S. Investment Company Act of 1940 to modernize the reporting and disclosure of information by registered investment companies.
In this two-hour live Webcast, The Knowledge Group assembled a panel of key thought leaders and practitioners with in-depth knowledge of the laws and regulations governing investment advisers to provide an over-view and discussion of the SEC Proposed Amendments to Form ADV and the Recordkeeping Rule in 2016. Speakers also will share their best practices in addressing the latest challenges of the proposed amendments.
Some of the major topics that will be covered in this course are:
- Form ADV and Recordkeeping Rule: An Overview
- Form ADV Proposed Clarifications, and Technical and Other Amendments
- Proposed Amendments to Books and Records Rule
- Proposed Technical Amendments to Advisers Act Rules
- New Risks and Opportunities
- Effect on Umbrella Registration
- Effect on Separately Managed Accounts
- Regulatory Guidance
- Best Practices
About The Knowledge Group/The Knowledge Congress Live Webcast Series
The Knowledge Group was established with the mission to produce unbiased, objective, and educational live webinars that examine industry trends and regulatory changes from a variety of different perspectives. The goal is to deliver a unique multilevel analysis of an important issue affecting business in a highly focused format. To contact or register to an event, please visit: http://theknowledgegroup.org/
The Knowledge Group
Thomas LaPointe, Jr., Executive Director
Contact via Email
Therese Lumbao, Director
Account Management & Member Services
Read the full story here: http://www.pr.com/press-release/656261
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|Publication:||PR.com (Press Releases)|
|Date:||Feb 4, 2016|
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