Justin C. Dausch 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.
- Investment advisers, hedge funds, and registered investment companies
- Broker-dealers and principal underwriters
- Private equity and private real estate managers
- Commercial banks and credit unions
My Greatest Strengths
- Expertise in the complex interplay between state and federal regulations applicable to financial services businesses.
- Excellent client communication and negotiation skills.
- Strategic business acumen.
- Client dedication and servicing.
I WANT YOU TO KNOW
- I have worked with companies ranging from under ten employees to hundreds of thousands.
- I have engaged in every phase of an investment manager's life cycle, including corporate formation and registration, sales and distribution of mutual funds and alternative investment products, regulatory examination and enforcement, mergers and acquisitions, and finally, de-registration and withdrawal.
- I have an entrepreneurial mindset aligned with my clients and previously launched my own legal practice.
WHAT MAKES ME UNIQUELY ME
- I enjoy experiencing different parts of the country and have lived up and down the East Coast.
- I enjoy exploring and becoming deeply involved in a variety of hobbies for a few years at a time before transitioning to new interests.
- I handle all the cooking for my family, a hobby I picked up during law school and continue to enjoy to this day.
- 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
- Private equity & venture capital
- Financial services & asset management
- Emerging growth
- Public companies
- Commercial real estate
- Investment Banking
- FinCEN Issues Final Rule Governing Access to Beneficial Ownership Information Collected Under the Corporate Transparency ActPublication, RCCB Alert, February 6, 2024
- Publication, RCCB Client Alert, December 20, 2023
- Quoted in Ignites (www.ignites.com), the leading source of news for the U.S. mutual fund and ETF industry
- Compliance Concerns Ad Rule May Push Shops to Ban Social Media
- Cybersecurity Rules Are Coming: SEC Chair
- We’re Not Done With Share Class Exams: SEC
- Quoted in Regulatory Compliance Watch (www.regcompliancewatch.com)
- Don’t Ignore SEC Interest in hedge clauses
SEC Webinar, “Perspectives on Implementing the New Sec Marketing Rule”
Community & Professional
Community & Professional
- AXYS Genetic.org, Board Member & Treasurer, 2018 - 2023
- Profugo, Board Member, 2020 - Present