Justin Dausch

Background

About Justin Dausch

Investment Management Attorney, Chief Compliance Officer, Consultant, and Director at a global compliance consulting firm. 3iCO, LLC: Justin offers comprehensive assistance to investment management and broker-dealer clients, specializing in navigating the intricate landscape of financial services regulations. Justin adeptly tackles complexities in product and broker-dealer regulation and oversees Securities and Exchange Commission (SEC) and FINRA examinations and investigations with finesse. Justin has held pivotal positions such as Chief Compliance Officer, AML Officer, and Senior Counsel across various SEC and FINRA-registered investment management firms. He is known for his proficiency in conducting mock regulatory examinations and guiding clients through successful regulatory exams. Royer Cooper Cohen Braunfeld: Justin serves as Counsel in both the Corporate & Business and Banking & Finance Groups. His practice primarily involves assisting investment management and banking clients with complex financial services regulations, corporate compliance, and governance matters. Justin has extensive knowledge in securities market regulation, covering areas like product and broker-dealer regulation, as well as Securities and Exchange Commission (SEC) and FINRA examinations and investigations. His expertise also includes handling compliance programs and internal inquiries. Justin has served in various key roles, including Chief Compliance Officer, AML Officer, and Senior Counsel at numerous SEC and FINRA-registered investment management firms. Securities Solutions Law: Justin is the founder of Securities Solutions Law, which provides custom-tailored legal and regulatory compliance solutions for registered investment advisers, broker-dealers, investment companies, hedge funds, and private equity funds. FOCUS AREAS Investment Advisors and Private Funds - Regulatory Compliance Registration with the SEC and examinations by the SEC’s Division of Examinations Design and implementation of regulatory compliance and anti-money laundering programs Broker-dealer registration, licensing, and FINRA compliance Securities Law Compliance INDUSTRIES Private equity & venture capital Financial services & asset management Emerging growth Public companies Commercial real estate Investment Banking