Daniel Viola Joins Seward & Kissel’s Investment Management Group as Head of SKRC
August 1, 2023
New York— August 1, 2023—Seward & Kissel LLP announced today that Daniel G. Viola has joined the firm’s New York office as a partner in the Investment Management Group to act as Head of the firm’s innovative regulatory platform, SKRC.
“Daniel brings decades of experience advising investment advisers, their funds, and broker-dealers with respect to regulatory matters” said Seward & Kissel managing partner Jim Cofer. “We are excited to offer our investment management and private fund clients Daniel’s deeply-informed advice.”
Viola will act as Head of Seward & Kissel’s SKRC offering, a full-scale compliance solution providing outsourced compliance program management and support, regulatory legal advice and consulting, mock audits, and SEC exam response services and more. SKRC clients include emerging and established investment advisers, private fund managers, and commodity trading advisors.
“We are delighted that Daniel is joining us to lead SKRC,” said Pat Poglinco and Rob Van Grover, co-heads of Seward & Kissel’s Investment Management Group. “SKRC already provides unparalleled counsel, helping clients to navigate a complex regulatory environment and to mitigate their regulatory risk. We are looking forward to seeing Daniel take the SKRC solution to the next level.”
Viola began his career on the floor of the NY Mercantile Exchange, later joining the Northeast Regional Office of the SEC, where he served as a senior compliance examiner and conducted examinations of investment advisers, broker-dealers and registered investment companies. He then founded a compliance consulting firm that served investment advisers and broker-dealers in the field of regulatory compliance. He served as general counsel to two financial companies: Andover Brokerage LLC (later acquired by SunGard), a provider of direct-access trading, order routing, and brokerage and clearing services to professional traders, and the Carlin Financial Group, which was ultimately acquired by RBC Capital Markets. He has served as a FINRA arbitrator for more than 25 years and has been recognized as a New York Metro “Super Lawyer” since 2020 based upon his expertise in the field of NY Securities & Corporate Finance, his reputation among his peers and successful representation of clients. He holds several brokerage licenses (Series 4, 7, 24, 55, 63, and 65). Prior to joining Seward & Kissel, Viola was a partner at Sadis & Goldberg LLP for over 16 years, serving as head of its Regulatory and Compliance Group, as well as the Blockchain and Digital Asset Group where he regularly advised private funds, family offices, proprietary trading firms, broker-dealers, and blockchain and digital assets clients, as well as commodity pool operators and commodity trading advisers. He was also a member of the Cybersecurity Committee at Sadis. He received his J.D. and B.S. from St. John’s University. Viola regularly speaks on Blockchain and current regulatory issues impacting the investment management industry.