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VCExperts Publishes Day Pitney Article on SEC's Crackdown on Investment Adviser Compliance Deficiencies

Publisher: VCExperts
February 3, 2012
Day Pitney Author(s) R. Scott Beach Henry Nelson Massey

VCExperts published a client alert by Scott Beach, Hank Massey, Jonathan Morris, Jane Broderick and Sam Jennings that warns of an SEC crackdown on firms with compliance deficiencies under the Investment Advisers Act of 1940, as amended. The article highlights three cases, in particular, that point to the penalties one may face if they disregard SEC compliance.