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.

On February 21, Justin Hannan will co-present a webinar, entitled "IRC 1400Z Qualified Opportunity Zones (QOZs) for Individual Investors: Tax Deferral and Reduction Opportunities," for Strafford.

February 21, 2019

Strafford Webinar

Why Won't Professional Investors Sign NDAs and Should I Care?

January 30, 2019

Day Pitney Liftoff Insights

Defining Success from a Legal Perspective – How to Best Structure the Transaction to Meet the Owner's Objectives while Providing Significant Legal Protection

Brian Fischer spoke on "Defining Success from a Legal Perspective – How to Best Structure the Transaction to Meet the Owner's Objectives while Providing Significant Legal Protection," at an Exit Planning Exchange (XPX) Hartford program.

January 16, 2019

Exit Planning Exchange (XPX), Hartford, CT

Why Should I Incorporate in Delaware?

January 2, 2019

Day Pitney Liftoff Insights

The Top Three Provisions for Every LLC Operating Agreement

December 10, 2018

Day Pitney Liftoff Insights

Day Pitney Represents GHK Capital Partners in its Recapitalization of Brown & Settle, Inc.

March 7, 2019

Day Pitney Press Release

Day Pitney Named "Highly Commended" Best Private Client Law Firm at 2019 Private Asset Management Awards

February 11, 2019

Day Pitney Press Release

Day Pitney Shortlisted for Two 2019 Private Asset Management Awards

December 10, 2018

Day Pitney's Family Office and Trusts and Estates practices have been shortlisted in two categories, "Best Private Client Law Firm" and "Best Trusts and Estates Division," for the 2019 Private Asset Management Awards.

Day Pitney Shortlisted for Family Wealth Report "Legal Team of the Year" Award

November 27, 2018

Day Pitney's Family Office and Trusts and Estates practices have been shortlisted in the "Legal Team of the Year" private client category for the 2019 Family Wealth Report Awards.

Daniel Gottfried Returns to Day Pitney, Further Strengthening Firm’s Corporate, Family Office and Tax Capabilities

November 12, 2018

Day Pitney Press Release