Cassondra E. Joseph

Counsel - New York, NY
cj@hfk.law
Phone:
(212) 661-7815
Mobile:
(917) 697-4175
Fax:
(302) 257-2019
New York, NY
Office Information
Main PRACTICE AREAS:
Financial Services Industry, including FinTech and Digital Assets, Fund Documentation, Securities Laws and Transactions, Corporate UCC
Bio:

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.


Publications
  • China Trade: Prospects and Perspectives (Praeger Pub., 1982), Buxbaum, Joseph & Reynolds, eds.; Reviewed in 14 Law and Policy in International Business 963 (1982); and 78 American Journal of International Law 1016 (1984)
  • Joseph, "The China Differential and The Legal Framework for Trade between the United States and China" in China Trade: Prospects and Perspectives (Praeger Pub., 1982), Buxbaum, Joseph & Reynolds, eds.
  • ​​"China's Participation in the United Nations: The First Five Years" Submitted in partial satisfaction of LL.M. requirements at Columbia University School of Law; 1977 (on file in Library)
  • “The Scope of Mediator Immunity: When Mediators Can Invoke Absolute Immunity,” 12 Ohio St. Cassondra Joseph on Dispute Resolution 629 (1997).
  • “Realizing and Foreclosing on Collateral - The Seven Deadly Sins,” Eastern Washington Bankruptcy Newsletter (Dec. 1995).
  • "Deficiency Judgments when Multiple Security is Foreclosed for a Single Debt"  1 New York Real Estate Law Reporter 8 (February 1987).
  • Book Review, Harris, Construction and Development Financing. 11 Real Estate Law Journal 377 (1983).
  • "Letters of Credit: The Developing Concepts and Financing Functions" 94 Banking Law Journal 816 (1977).
  • "Regulation of Tender Offers" 1974 Wash. U.L.Q. 911.
  • Comment, "Deductibility of Legal Fees for Advice in Estate Planning" 1974 Wash. U.L.Q. 332.
  • Editor, New York Real Estate Law Newsletter (published monthly by New York Law Journal):  Vol. 1 (1986-87).


Lectures
  • IA Watch, IA Compliance, Midwest Conference, “How to Safely Navigate the Rocky Shoals of Today’s Evolving Advertising Marketplace” (June 25, 2018). Siegel, Andrew N., and Joseph, Cassondra E.,
  • Joseph, "The China Differential and The Legal Framework for Trade between the United States and China" in China Trade: Prospects and Perspectives (Praeger Pub., 1982), Buxbaum, Joseph & Reynolds, eds.
  • “Practical Compliance – Putting Together an Effective Compliance Program,” New York State Society of Certified Public Accountants (June 5, 2013).
  • “Form ADV Part 2:  Plain English and What You Need to Know to Comply” (February 28, 2011), Wolters-Kluwer
  • CCH 1st Annual Securities Compliance Conference, “Creating a Culture of Compliance” (November 1, 2005).
  • Speaker, IA Code of Ethics (with Diane Boone)
  • Speaker, IA Compliance Programs (with Diane Boone)
  • CCH 2nd Annual Securities Compliance Conference, “Soft Dollars” (September 25, 2006).
  • Webinars on suitability, JOBS Act, AIFMD.
  • Co-Chair and Speaker, University of Washington CLE Program, Commercial Real Estate: Negotiating and Drafting Considerations
  • "Workout Strategies" (February 26, 1999)
  • Speaker, Washington State Bar Association, Distribution Law, “UCC Issues in Distribution Agreements” (July 17, 1998)
  • Co-Chair and Speaker, Washington State Bar Association, Debtor-Creditor Section, Collection of Judgments (December 19, 1997 (Seattle site))
  • Co-Chair and Speaker, University of Washington CLE Program, New Business Ventures:  Key Legal, Financial, Management and Practical Issues (November 10-14, 1997)
  • “Building an Effective Consulting Team:  When and Why You Need Outside Consultants” (November 10, 1997)
  • “Rights and Duties of Commercial Agents and Distributors” (November 13, 1997)
  • Speaker, Washington State Bar Association, Commercial Leasing, “Bankruptcy Strategies for Commercial Lessors” (April 23, 1997)
  • Speaker, Bankruptcy Bar Association, Eastern District of Washington, Annual Bankruptcy Seminar and Retreat, “The Impact of Bankruptcy on Foreclosure” (June 6-8, 1996)
  • Co-Chair and Speaker, University of Washington CLE Program - Agricultural Finance, “Realizing and Foreclosing on Collateral - The Seven Deadly Sins” (January 27, 1996)
  • "What a Secured Lender Should Know when Liquidating Collateral" June 25, 1991; New York Institute of Credit
  • "Recent Developments under the Uniform Commercial Code of New York" July 11 and 18, 1990; New York Annual Judicial Seminar
  • "Survey of Secured Transactions and Commercial Paper under the Uniform Commercial Code in New York" July 11 and 18, 1989; New York Annual Judicial Seminar
  • "Recent Developments: Sales and Commercial Paper under the Uniform Commercial Code in New York" July 14 and 21, 1988; New York Annual Judicial Seminar
  • "Survey of Sales and Commercial Paper under the Uniform Commercial Code of New York" July 9 and 16, 1987; New York Annual Judicial Seminar
  • "Recent First Amendment Issues" March 4, 1985; New York Civil Liberties Union, Westchester Chapter
  • "Article 9 of the Uniform Commercial Code in New York" January 17, 1985; CLE Program, Pace Law School
  • "Conducting the Commercial Arbitration Hearing" January 8, 1981; American Arbitration Association, White Plains, NY
  • "China's Joint Venture Law" November 1980; Larchmont-Rye-Mamaroneck Bar Association
  • "The Legal Framework for Business Transactions in China"  October 7, 1980; Pace Business/Law Forum


Bar Association Activities:

New York City Bar Association:

  • New York City Bar Association, Uniform State Laws Committee, 2014-17; 2000 –03; 1993 –96.​ Revised UCC Articles 8 and 9 Subcommittees; prepared final reports to New York State Legislature.  UCC Art. 8 Report is the bill jacket for the NYS Legislature.

Washington State Bar Association:
  • Committee on Revised Uniform Partnership Act, 1996-1998. Report to the Washington State Legislature.
  • Committee on the Uniform Commercial Code, 1998-1999: Revised UCC Article 9:  Report to the Washington State Legislature.
  • Committee on Cyberspace Law, 1999:  Review of UETA and UCITA.

Admissions
  • New York

Education
  • J.D. and B.A. degrees, Washington University (St. Louis)

​             -  Washington University Law Review (f/k/a Washington University Law Quarterly)

  • LL.M., Columbia University

Languages
  • French
  • German


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