Scott H. Kaliko

Of Counsel

Introduction

Mr. Scott H. Kaliko is a multifaceted attorney with diverse experience advising clients on an array of commercial, intellectual property, litigation, audits, investigations, and corporate and financial compliance matters.

Mr. Kaliko is a licensed attorney, a registered patent attorney, and a Certified Anti-Money Laundering Specialist (CAMS). For more than 15 years as an attorney he acted as counsel for a variety of intellectual property clients by performing patent and trademark prosecution, IP Audits, Intellectual Property, IP Litigation, IP Asset Management, and IP Counseling.

Mr. Kaliko is responsible for conducting compliance reviews, audits, and examinations for the firm’s Banking and Capital Market clients. He has extensive knowledge of Investment Advisers Act, Investment Company Act, Advisory Compliance, Broker-Dealer Operations, Securities Exchange Act, AML/BSA Program Development, USA PATRIOT Act Compliance, Regulatory Documentation, Policy Review, Risk Management, and Corporate Agreements. Mr. Kaliko has also served as lead counsel for clients in FINRA and SEC investigations for financial institutions and reviewing and implementing compliance programs for banks and broker-dealers regarding AML and General Compliance matters.

Publications

Changes to AML Rules For Investment Advisors

The Defense Against Trade Secrets Act​

scott h kaliko

Education

University of Pennsylvania School of Law, Juris Doctorate

Wharton School, University of Pennsylvania Compliance & Regulation WK1

Georgia State University, post graduate work in Chemistry, Biology, and Physics

University of the State of New York, Mathematics and Economics

Bar Admissions

New York and New Jersey State Bars

United States Court of Appeals for the Federal Circuit

United States District Court, District of New Jersey

United States District Court, Eastern District of New York

United States District Court, Southern District of New York

Registered before the United States Patent and Trademark Office

Practice Areas

Intellectual Property

Compliance

Contact Address

Office: New York

Phone: (212)-930-9700

Fax: (212)-930-9725

Email: skaliko@srfkllp.com

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