Daniel G. Viola is a partner in the Investment Management Group and head of the firm’s innovative regulatory platform, SKRC. Daniel has decades of experiences advising investment advisers, private funds, broker-dealers, proprietary trading firms, blockchain and digital assets firms as well as commodity pool operators and commodity trading advisers. He structures and organizes broker-dealers, investment advisers, funds and regularly counsels investment professionals in connection with regulatory and corporate matters.
Daniel began his career on the floor of the NY Mercantile Exchange prior to joining the Northeast Regional Office of the SEC, where he worked from 1992 through 1996 and served as a Senior Compliance Examiner. During his tenure at the SEC, Daniel worked on several compliance inspection projects and enforcement actions involving examinations of registered investment advisers, ensuring compliance with federal and state securities laws. Daniel’s examination experience includes financial statement, performance advertising, and disclosure document reviews, as well as, analysis of investment adviser and private fund issues arising under ERISA and blue-sky laws. Daniel has been active in the Blockchain and digital asset verticals since 2014. Daniel has been recognized as a New York Metro area “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.
After leaving the SEC, Daniel founded VIOCO, Ltd. (“VIOCO”), which provided compliance 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 compliance consultant to provide mandated corrective consulting to investment advisers that were sanctioned by the SEC.
From 1997 to 2002, Daniel 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, Daniel served as the General Counsel to the Carlin Financial Group, which was ultimately acquired by RBC Capital Markets, LLC.
Daniel has also obtained several brokerage licenses, including Series 4, 7, 24, 55, 63 and 65. He regularly speaks on Blockchain and current regulatory issues impacting the investment management industry.