Valentino Vasi focuses on compliance, regulatory, and legal issues for financial services firms, including broker-dealers and investment advisers. Mr. Vasi has more than 20 years of experience practicing corporate and securities law. This has included drafting, negotiating and interpreting contracts; counseling clients on relevant laws and rules; representing clients with regulatory agencies; and developing compliance programs for broker-dealers, investment advisers, mutual funds and hedge funds. He has held senior in-house positions with investment advisers, broker-dealers and money managers where he was responsible for establishing, instituting and administering effective state, federal, and regulatory compliance programs.
Mr. Vasi’s areas of responsibility have included advising about preparation and marketing of equity research, trade execution, investment banking, marketing and distribution of mutual funds, operation of separately managed advisory accounts and other investment advisory services, private fund formation, back office operations, formation and registration of broker-dealers and investment advisers, anti-money laundering compliance, review of marketing material, branch office inspections, and due diligence audits. He has been responsible for drafting policies and procedures for all of these activities and for management of regulatory examinations.
Some of his specific assignments included organization and implementation of cybersecurity programs, including asset and risk analysis and drafting of written policies and incident response plans, advising private equity firms on investment adviser regulation, analyzing international customer identification and Anti-Money Laundering regulations, and advising clients on how to improve new account intake processes around the world. His experience includes identifying potential compliance vulnerability and risk areas, developing and implementing corrective action plans to resolve issues, and establishing processes to avoid future problems.
Mr. Vasi is a member of the firm’s Cybersecurity practice, working with cross-functional group of attorneys to provide clients with advice on developing, strengthening, testing, and enforcing their information protection policies and procedures.
- 1996 New York
- American Bar Association:
- Business Law Section
- Member, FINRA Corporate Financing Rules Subcommittee
- Member, Hedge Funds Subcommittee
- Member, Investment Companies and Investment Advisers Subcommittee
- Member, Private Equity and Venture Capital Subcommittee
- Member, Trading and Markets Subcommittee
- Member, Cyberspace Law Section
- Member, State Regulation of Securities Section
- Business Law Section
- New York City Bar, Member
- 2011-2016 In-House Counsel, Chief Compliance Officer, Telsey Advisory Group LLC
- 2009-2011 President, Lantern Consulting, Inc.
- 2005-2008 Assistant Vice President, Director of Compliance, Janus Capital Group
- 2002-2005 Senior Associate, Carter Ledyard & Milburn LLP
- 1995-2002 Associate, Faith Colish, A Professional Corporation
- FINRA Series 7, 24, 87 and 99
- B.S., 1992 State University of New York at Oneonta (First Honors in History)
- J.D., 1995 Hofstra University School of Law