Cassondra E. Joseph

Cassondra Joseph photoCassondra E. Joseph provides compliance advice to both broker-dealers and investment advisory firms on all aspects of SEC, FINRA, CFTC, other SROs and state registration, guidance on establishing a compliance program, preparation of compliance manuals, preparation of regulatory filings with FINRA and the SEC, assistance with audits and resolution of ongoing compliance issues, including, without limitation, Form NMA/CMA, Materiality Consultations, underwritings, private placements, AML compliance, Rule15a-6 compliance, Reg M compliance, advertising regulations and commission arrangements.  Her investment advisory clients range in size from start-ups to $6.5 billion in assets under management and include investment advisers, hedge funds, commodity funds, private equity funds, CPOs and CTAs.  These firms provide investment advice to both individual and institutional clients.

Ms. Joseph has been with Integrated Solutions℠ since 2010.  She was formerly General Counsel at a NYSE-registered, full service brokerage firm whose operations included several substantial investment advisers; she held the Series 14 license.  As an attorney admitted in New York, she has extensive experience in advising financial services firms as well as drafting fund formation documentation and transactional documents for a broad range of transactions that involve securities, investment advisers and various categories of alternative investments funds.  She was formerly a tenured law professor who taught securities law, among other subjects.  She has an LL.M. from Columbia University and her J.D. and B.A. degrees from Washington University (St. Louis).

In the investment adviser field, she has lectured on how to set up investment adviser compliance programs, investment adviser Code of Ethics and drafting the Form ADV, Part 2.  She has also lectured on soft dollar arrangements, suitability, the JOBS Act and AIFMD.  In addition, she has served on several Bar Association Committees that issued reports affecting the financial services industry.

She is fluent in French and German.

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