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Financial services regulatory lawyer joins Seward & Kissel

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Valentino Vasi has joined Seward & Kissel as counsel in the firm’s Investment Management Group. He was previously with the firm Carter Ledyard & Milburn LLP.

Vasi has spent more than 20 years practising corporate and securities law, with a focus on advising financial services firms on compliance, regulatory, and related legal issues. In particular, he is known for his work providing regulatory counsel and developing compliance programs for broker-dealers, hedge funds, investment advisers, and mutual funds. He frequently represents clients before regulatory agencies, and previously held senior in-house positions with investment advisers, broker-dealers, and money managers where he helped establish state, federal, and regulatory compliance programs.
“Val is well-respected in the securities sector, particularly in the broker-dealer community, for his informed regulatory and compliance advice,” says Seward & Kissel managing partner Jim Cofer. “He also brings invaluable in-house experience to our team, and we are pleased to welcome him to the firm.”
At Seward & Kissel, Vasi will advise broker-dealers, investment advisors, and other financial services clients on a range of regulatory and compliance-related issues. In addition, he has significant experience with respect to cybersecurity, including counselling clients on developing and enforcing their information protection policies and procedures.
“I’m pleased to join Seward & Kissel, and look forward to working with such a highly-regarded team,” said Vasi. “This firm was the natural choice for the next stage of my career, and I’m happy to be among such talented and experienced colleagues in the investment management space.”
Vasi received his JD from Hofstra University School of Law, and holds a BS from the State University of New York at Oneonta. He is the second counsel to join Seward & Kissel this year; former SEC counsel Philip Moustakis joined the firm in February. 

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