Cassondra E. Joseph
Cassondra E. Joseph provides advice to both broker-dealers and investment advisory firms on all aspects of compliance with SEC, FINRA, CFTC, other SROs and state securities laws, rules and regulations, guidance on establishing a compliance program, preparation of compliance manuals, preparation of regulatory filings with the various financial services regulators, assistance with audits, annual compliance training and resolution of ongoing compliance issues, including, without limitation, Form ADV, Form PF, 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 those managing billions, including investment advisers, hedge funds, commodity funds, private equity funds, CPOs and CTAs. These firms provide investment advice to both individual and institutional clients.
In the digital asset space, Ms. Joseph is currently the outsourced CCO for a hedge fund that specializes in digital asset trading and is providing compliance advice to other hedge funds that deal in digital assets. She also provides compliance advice to several broker-dealers in the digital asset space, including some that have very high profiles in the ongoing development of digital assets.
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 corporations and 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, drafting the Form ADV, Part 2, advertising rules affecting investment advisers and AIFMD. She has also lectured on advertising rules affecting broker-dealers, soft dollar arrangements, suitability, and the JOBS Act. 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.