Anitra T. Cassas

Partner

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Practices
Industries
Education
  • University of California Berkeley School of Law, JD, 1995
  • University of California Berkeley, BA, 1991
Admissions
  • District of Columbia
  • Virginia
Affiliations

Virginia Liaison, Subcommittee on Liaisons to Securities Administrators, American Bar Association

Member, Committee on State Securities Regulation, American Bar Association

Member, Securities Litigation Committee and SRO Subcommittee, American Bar Association

Member, SIFMA Legal & Compliance

Anitra is a co-chair of the firm's broker-dealers and investment advisers industry team. She has a securities regulation and enforcement practice, with a particular emphasis on broker-dealers, investment advisers and municipal advisors.

Anitra represents broker-dealers, investment advisers, municipal advisors private equity and hedge funds, banks and individuals in connection with government investigations, compliance examinations and internal audits.

She has extensive experience working with clients to devise and implement comprehensive compliance policies and procedures, supervisory systems and internal controls. Anitra has advised firms on a wide range of regulatory issues, including registration, research, sales and trading practices, supervisory controls, order and trade reporting, referral agreements, information barriers, conflicts of interest, issuer repurchases, soft dollar arrangements and insider trading.

Anitra previously served as special counsel in the SEC's Division of Trading and Markets, where she focused on the legal and policy implications of national market structure issues. She also was a law clerk for the Honorable Howard D. McKibben, U.S. District Court, Reno, Nevada.

In the News

Anitra T Cassas
vCard
T: +1 804 775 4727F: +1 804 698 2000Gateway Plaza
800 East Canal Street
Richmond, VA 23219-3916

Represented financial advisors, underwriters and issuers in connection with SEC, FINRA and state investigations involving the offer and sale of municipal securities.

Represented broker-dealers in connection with federal and state investigations regarding the sale of auction-rate securities.

Advised several national banks on compliance with the municipal advisor rules, soft dollar practices and networking arrangements.

Advised a private equity fund in connection with its acquisition of a SEC-registered investment adviser.

Represented broker-dealers in connection with various FINRA investigations regarding suitability, OATS and TRACE reporting, short sales, continuing education and municipal bond underwriting.

Conducted an internal audit of a SEC-registered investment adviser.

Advised a hedge fund on policies and procedures concerning use of outside consultants.

Advised a national university on insider trading procedures.

Co-author, "Lessons From SEC Focus On Compliance Officers," Law360, August 18, 2014
Co-author, "SEC Issues Supervisory Liability Guidance," Insights, Volume 27, Number 11 (November 2013)
Moderator, SEC Compliance and Disclosure Update, McGuireWoods LLP SEC Practice Complimentary Webinar Series, January 31, 2017
Speaker, "Hot Topics in Compliance Examinations," SIFMA Charlotte Regional Seminar, September 2016
Speaker, "Communications with the Public," UNC Financial Services Compliance Bootcamp, August 2016
Moderator, SEC Compliance and Disclosure Update, McGuireWoods LLP SEC Practice Complimentary Webinar Series, March 1, 2016
Speaker, "Issues Relating to Finders in Small and Emerging Businesses," SEC Compliance and Disclosure Update, McGuireWoods LLP SEC Practice Complimentary Webinar Series, September 22, 2015
Speaker, "Today's Regulatory Landscape," Council of Development Finance Agencies, National Development Finance Summit, November 20, 2014
Speaker, "Have the MA Regulations Stalled the Bond Market?," CDFA/ BNY Mellon Development Finance Webcast Series, October 21, 2014
Speaker, "What the SEC's New Municipal Advisor Rules Mean for Healthcare Finance," VA-DC HFMA Fall Education Conference, September 24, 2014
Speaker, "Investment Advisers: Current Issues," SIFMA Compliance & Legal Charlotte Regional Seminar, September 22, 2014
Speaker, "Navigating Recent SEC Guidance on Custody Rule, Qualified Client Status, Knowledgeable Employees, Use of Social Media and CCO Liability," Private Fund Managers, Strafford Live CLE Webinar, September 9, 2014
Speaker, SEC Compliance and Disclosure Update, McGuireWoods LLP SEC Practice Complimentary Webinar Series, June 4, 2013
Speaker, "Dodd-Frank and JOBS Act Update," SEC Compliance and Disclosure Update, McGuireWoods LLP SEC Practice Complimentary Webinar Series, March 28, 2013
Speaker, Who’s on First? Issues Confronting Professional Fiduciaries, The Fiduciary Advisory Services Seminar, co-presented by the Fiduciary Education Center, October 9, 2012
SEC Supervisory Liability FAQs, October 15, 2013