New York, NY, May 21, 2016 --(PR.com
)-- Daniel G. Viola is the Head of the Regulatory and Compliance Group. He structures and organizes broker-dealers, investment advisers, funds and regularly counsels investment professionals in connection with regulatory and corporate matters. Mr. Viola served as a Senior Compliance Examiner for the Northeast Regional Office of the SEC, where he worked from 1992 through 1996. During his tenure at the SEC, Mr. Viola worked on several compliance inspection projects and enforcement actions involving examinations of registered investment advisers, ensuring compliance with federal and state securities laws. Mr. Viola’s examination experience includes financial statement, performance advertising, and disclosure document reviews, as well as, analysis of 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 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.
Mr. Viola received a Juris Doctor degree from St. John’s School of Law in 1996 and a B.S. Degree in Finance from St. John’s University in 1992. He is a member of the New York Bar and a FINRA arbitrator.
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, commodity pools, 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 January 11, 2016, the SEC's Office of Compliance Inspections and Examinations (OCIE) announced its examination priorities for this year. The 2016 examination priorities are organized around the three thematic areas: (1) examining matters of importance to retail investors, including investors saving for retirement; (2) assessing issues related to market-wide risks; and (3) using data analytics to identify and examine registrants that may be engaged in illegal activity. The OCIE identified new areas of focus related to these priorities, which include liquidity controls, product promotions, exchange-traded funds and variable annuities. There will also be a continuing focus directed on cybersecurity, microcap fraud, fee selection and reverse churning.
These examination priorities impact most security industry participants including registered investment advisers, broker dealers, registered investment companies, and transfer agents. Although the OCIE indicated that the list is not exhaustive, the affected professionals are recommended to review and update their compliance practices based on the specified areas mentioned in preparation for a SEC examination.
In this two-hour Live webcast, a panel of distinguished professionals and thought leaders will help security industry professionals and companies understand the 2016 SEC Examination Priorities. Speakers will also offer best practices to ensure compliance and preparedness in the event of an examination.
In a two-hour live webcast, the speakers will discuss:
· Purpose and Thematic Focus of 2016 Examination
o Protecting Retail Investors and Investors Saving for Retirement
o Assessing Market-Wide Risks
o Using Data Analytics to Identify Signals of Potential Illegal Activity
o Other Initiatives
· Impact on Security Industry Participants
· Best Compliance 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 for an event, please visit: http://theknowledgegroup.org/