Dana R. Dawe
- Senior Compliance Consultant
My admin
- Florence Garmon
industries
practices
- Reviews compliance with state blue sky laws applicable to the issuance of securities and the sale and promotion of securities by nonprofits, broker-dealers, agents, and issuer-agents
- Assists with preparation and review of annual business history information for officers, directors and other control persons
- Prepares and files state securities law applications with all states that require a filing for either the registration of securities, broker-dealers, agents, or issuer agents, or securing an exemption from registration requirements, including Forms U-1, U-2, U-2A, U-4, U-5, BD and state specific forms
- Develops good working relationships with state securities law regulators in connection with the authorization of nonprofit offerin
- Reviews compliance with state blue sky laws applicable to the issuance of securities and the sale and promotion of securities by nonprofits, broker-dealers, agents, and issuer-agents
- Assists with preparation and review of annual business history information for officers, directors and other control persons
- Prepares and files state securities law applications with all states that require a filing for either the registration of securities, broker-dealers, agents, or issuer agents, or securing an exemption from registration requirements, including Forms U-1, U-2, U-2A, U-4, U-5, BD and state specific forms
- Develops good working relationships with state securities law regulators in connection with the authorization of nonprofit offering documents and securities law compliance issues generally
- Reviews and files supplemental offering materials with all the states where required
- Reviews for compliance all proposed advertising materials for nonprofit securities offerings, including filing with states where required
- Prepares and files agent registrations and renewals with states that require a filing
- Maintains up to date information about securities laws and compliance in all 50 states and US territories
- Maintains records of annual offering documents and registration forms
- Prepares and conducts broker-dealer and investment adviser mock regulatory examinations, SEC and FINRA
- Conducts FINRA Rule 3012/3013 testing and reporting
- Conducts Investment Adviser’s Act Rule 206(4)-7 reviews
- Develops and tailors supervisory systems and written supervisory procedures
- Prepares disclosure documents such as ADV Parts 2A and 2B
- Performs routine and “For Cause” Broker-Dealer Branch and OSJ audits
- Conducts independent AML Program testing and reporting
- Performs “For Cause” investigations
- Designs and drafts M&A and capital markets compliance systems, policies and procedures
- Provides expert guidance in securities cases
- Conducts M&A due diligence on brokerage firms and investment advisers
- Consults for regulatory consent decree and enforcement projects
- Performs enterprise supervisory structure assessments
- Registers broker-dealers and investment advisers with state and federal regulators
- Reviews sales literature and advertising for compliance with SEC and FINRA rules and regulations
- Sets up books and records/compliance infrastructure for newly registered BD’s and RIA’s
- Conducts operations controls reviews
- Provides FINOP and CCO outsourcing support services
- Private placement and Reg. D compliance
- Reviews private placement memoranda
- Designs and reviews continuing education programs
- Assists with business continuity planning
- Plans and develops information security programs and written policies
- Provides international consulting for foreign firms considering U.S. securities registration and licensing
- “Fiduciary Duties Under DOL PTE 2020-02 and Rollover Practices,” Warner Virtual CCO Roundtable, September 1, 2021
- “SEC Exams During COVID-19,” Warner Virtual CCO Roundtable, June 2, 2021
- “The Modernized Marketing Rule,” Warner Virtual CCO Roundtable, March 3, 2021
- “Fiduciary Duties Under DOL PTE 2020-02 and Rollover Practices,” Warner Virtual CCO Roundtable, September 1, 2021
- “SEC Exams During COVID-19,” Warner Virtual CCO Roundtable, June 2, 2021
- “The Modernized Marketing Rule,” Warner Virtual CCO Roundtable, March 3, 2021
- Virtual CCO Roundtable Series: Fiduciary Duties Under DOL PTE 2020-02 and Rollover Practices
- Virtual CCO Roundtable Series: SEC Exams During COVID-19
- Virtual CCO Roundtable Series: The Modernized Marketing Rule
- Roundtable – Chief Compliance Officer
- Chief Compliance Officer Roundtable Series – Feb. 22, 2017
- Warner Represented The International Pentecostal Holiness Church Extension Loan Fund in $65 Million Offering
- Warner Represented United Church of Christ Cornerstone Fund, Inc. in $100 Million Offering
- Michigan Proposes New Securities Act Ruleset ~ Public Comment Period Closes April 3, 2018
- Deadline Approaching: Warner Customized DOL Fiduciary Rule Compliance Materials for Financial Institutions and Advisors
- Michigan Proposes New Securities Act Ruleset ~ Public Comment Period Closes April 3, 2018, 3/21/2018
- Deadline Approaching: Warner Customized DOL Fiduciary Rule Compliance Materials for Financial Institutions and Advisors, 5/25/2017
- Important Dates re: Identity Theft Red Flag Rules of Regulation S-ID, 5/8/2013
- Michigan Proposes New Securities Act Ruleset ~ Public Comment Period Closes April 3, 2018, 3/21/2018
- Deadline Approaching: Warner Customized DOL Fiduciary Rule Compliance Materials for Financial Institutions and Advisors, 5/25/2017
- Important Dates re: Identity Theft Red Flag Rules of Regulation S-ID, 5/8/2013
- SEC Adopts Identity Theft Red Flags Rules, 4/15/2013
- Holiday Cheer From FINRA, 12/18/2012
- Investment Adviser Branch/Satellite Office Supervision, 10/9/2012
- Dropping the Ball in AML Compliance Testing, 7/31/2012
- “Heads Up” from Recent Routine FINRA Examination Document Request, 5/15/2012
- Recent News from NASAA, 3/29/2012
- New FINRA Customer Arbitration Disclosures and RR Responsibilities Take Effect December 5, 11/16/2011
