Check out our latest article, "Beneficial Ownership Reporting for Investment Advisers and Broker-Dealers", on our website. https://lnkd.in/gGb3sevS
Aspect Advisors
Financial Services
New York, New York 534 followers
Expert Advice for Broker-Dealers, RIAs, Fund Managers, and FinTech Companies about Regulatory Compliance.
About us
Aspect Advisors is a regulatory compliance consulting firm that provides customized compliance solutions for complex challenges. Our clients are financial service innovators, including fintech companies, registered investment advisers (RIAs), broker-dealers and private fund managers. Our back-office services include regulatory registrations and filings, compliance policies and procedures, conducting annual reviews, outsourced Chief Compliance Officer/FinOP support, and other bespoke items.
- Website
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http://aspectadv.com/landing/
External link for Aspect Advisors
- Industry
- Financial Services
- Company size
- 11-50 employees
- Headquarters
- New York, New York
- Type
- Privately Held
- Founded
- 2019
Locations
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Primary
Get directions
New York, New York, US
Employees at Aspect Advisors
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Harris Bogner
CCO/Director of Compliance
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Meredith Geldhauser
Principal Consultant - Outsourced Chief Compliance Officer
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Diane Remer
Information System Manager at Aspect Advisors
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Justin Schleifer
President and Co-Founder of Aspect Advisors. Focused on assisting financial services innovators grow their businesses within a regulatory framework.
Updates
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Mark Dempsey enjoyed speaking on Professional Ethics at the Investment Adviser Certified Compliance Professional (IACCP) Core Compliance Program Symposium on Friday, April 19th. He will also speak on compliance considerations related to Cryptocurrency at the IACCP Program Symposium on Wednesday, May 15th. Investment Adviser Association: https://lnkd.in/gs63vmqJ IACCP Calendar of Events for 2024: https://lnkd.in/gNC3_kY3
IACCP - Investment Adviser Association
investmentadviser.org
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The CoinAlts Conference in San Francisco is a week and a half away! The Fund Symposium is a must-attend gathering for industry professionals, providing unparalleled insights and networking opportunities within the digital asset industry. Join us for top-notch speakers, subject matter expert panels, and the chance to stay ahead of the curve in this rapidly evolving ecosystem. As always, attendance is complimentary for fund managers and clients of our sponsoring firms. Please remember space is limited, so register now before tickets sell out. We hope to see you there! https://lnkd.in/ggv95kTP
👏 Let's give a heartfelt shout-out to Aspect Advisors a supporting sponsor behind the eagerly awaited CoinAlts Conference, where the crypto community comes together for the latest topics affecting crypto fund managers! 🌐 #CoinAlts2023 🏢 We want to express our sincerest appreciation to Aspect Advisors for their unwavering commitment to compliance within digital asset financial services. Their contributions have been helpful in bringing some of the brightest minds in the industry together for this groundbreaking event. 🌟 Mark your calendars for October 26th as we prepare for an extraordinary journey filled with riveting discussions, illuminating panels, and the opportunity to connect with the pioneers of our field. 🔗 Dive into the excitement surrounding #CoinAlts at www.coinalts.xyz. Stay tuned for speaker reveals, breaking news, and gear up for an exhilarating expedition of innovation and exploration! 🎙️💡 #AspectAdvisers #CoinAlts #Crypto #DigitalAsset #Innovation #Compliance 👏🌐📅🔗🌟🎙️💡 Cole-Frieman & Mallon LLP MG Stover LLC Harneys KPMG in the Cayman Islands
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The debate around the regulation of NFTs as securities has been hotly contested this year. In February, the U.S. District Court of the Southern District of New York found Dapper Labs, Inc. had violated federal securities laws by offering for sale NFTs, known as “Moments”, without filing a registration statement with the Securities and Exchange Commission (“Commission”). Now, in a first of its kind enforcement action, the Commission similarly charged Impact Theory, LLC for failing to file a registration statement with the SEC for its KeyNFTs. While the conversation continues regarding whether all NFTs offered or traded by a company should be considered securities, a discernible trend is emerging. Courts and regulatory bodies appear to be increasingly inclined towards a formal classification of certain non-fungible tokens as securities. Find the full order against Impact Theory in the link provided. Insight by Michael Kronket
Impact Theory, LLC
sec.gov
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Read about the "Titan SEC Actions" on the Aspect website and our takeaways of the incident, written by Mark Dempsey. https://lnkd.in/gcmtAXJQ
AUGUST 2023: Titan SEC Action
https://aspectadv.com