Main Practice Areas
Cassondra Joseph brings a broad range of transactional and regulatory experience to HFK, including negotiating and structuring private placements, mergers and acquisitions (stock and asset sales), IPOs, and fund formation. On the regulatory side, she provides advice to both investment advisory and broker-dealers firms on all aspects of federal and state regulatory compliance, as well when such clients operate within the E.U. She has guided clients when 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 firms with billions under management, 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 was the outsourced CCO for a hedge fund that specialized in digital asset trading. She also obtained broker-dealer licenses for several significant firms in the digital asset space. She regularly provides compliance advice to broker-dealers and hedge funds that deal in digital assets and FinTech.
Ms. Joseph 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, UCC and contracts, among other subjects.
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 and entity structures.
Bar Association Activities:
New York City Bar Association:
Washington State Bar Association:
- Washington University Law Review (f/k/a Washington University Law Quarterly)
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