Head of Regulatory and Compliance Group Sadis & Goldberg LLP
Daniel G. Viola is a Partner of Sadis & Goldberg
LLP and 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 has been active in the Blockchain
and Virtual Currency verticals since 2014. He is also the founder of the Crypto
Asset Webinars and serves as an advisory board member to several ICOs. 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. From 1997 to 2002, Mr.
Viola served as General Counsel for Andover Brokerage LLC, which was
ultimately acquired by SunGard
(NYSE:SDS). Andover was a self-clearing member firm of the NASD, currently
known as FINRA and a trading/technology firm that provided direct-access
trading, order routing, and brokerage and clearing services to professional
traders. From 2002 to early 2006, Mr. Viola served as the General Counsel to
the Carlin Financial Group, which was ultimately acquired by RBC Capital
Markets, LLC. Mr. Viola then founded his own law firm and eventually merged it
into Sadis and Goldberg’s law practice in late 2006.
Check out the incredible speaker line-up to see who will be joining Dan.
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