Office: 407.704.1893

111 North Orange Ave., Suite 800
Orlando, FL 32801

©2019 by Virtus LLP

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Hope L. Newsome, Esq.

Managing Partner 

Corporate and Financial Services Attorney by trade; Bridge-Builder between investors and the market by passion.

 

hnewsome@virtus.law

main: 407.704.1893

direct : 407.541.0896

​Practices & Capabilities 

  • 13 years serving as counsel and compliance officer for issuers and sponsors of private and public investment funds, broker-dealers and registered investment advisers.Experience in all manners of equity offerings. Served as chief compliance officer and secretary of two global energy investment companies registered under the Investment Company Act of 1940, as amended.Successfully led both new membership and continuing membership applications with FINRA and cycle and for- cause examinations with FINRA and the SEC.

  • Significant experience providing general corporate counsel to start-up, growth and renewal organizations including the execution of firm internal testing standards and processes.

Selected Representations 

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General Counsel, Secretary and Chief Compliance Officer  Represented firm on all corporate, compliance and general business matters and provided compliance guidance to private equity firm, broker-dealer and registered investment adviser responsible for more than $650 million dollars raised for more than 50 private and public investment funds.

Chief Compliance Officer  Led compliance program for $60 billion registered investment adviser and broker- dealer providing investment consulting and corporate insurances services to Fortune 100 companies.

Director, Compliance  Led a compliance team servicing more than 2,000 retail financial advisors with 20+ compliance managers across the United States for a leading financial institution.

General Counsel and Chief Compliance Officer  Served as member of the executive committee of a privately-held dually registered investment adviser and broker-dealer with more than $500 million AUM.

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Selected Industry References 

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       NSCP | Use of Non-Attorneys in FINRA Arbitration 

       Complect | Year-End Checklist 
       Orlando Business Journal | 40 Under 40 Honoree 

       i4 Business Magazine | How are You Building Relationships?
       Fortune Magazine | Wall Street: an option or obstacle for young women? 
       Top Compliance Counsel| First Chair Awards 
       A Robust Risk Matrix and Effective Tests | NRS 29th Annual Spring Compliance Conference 

       Participant | ELC Mid-Level Managers’ Symposium 

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Engagement 

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       Member | Professional Ethics Committee, The Florida Bar

       Co-Chair | National Society of Compliance Professionals, Diversity Committee

       Member | National Society of Compliance Professionals, Publications Committee

       Board Member | ATHENA Orlando Women’s Leadership

       Advisory Council | i4 Business Magazine

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