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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.

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"Drafting Lasting Business Contracts," New Jersey Institute and New Jersey State Bar Association

On March 16, Day Pitney Partner David M. Waizer will serve on the panel, "Drafting Lasting Business Contracts: Simple, Powerful Strategies That Stand the Test of Time," presented by the New Jersey Institute and the New Jersey State Bar Association.

March 16, 2021
IRS Issues Final Carried Interest Regulations
January 22, 2021

Day Pitney Advisory

New Beneficial Ownership Reporting Obligation Approved
January 13, 2021

Day Pitney Alert

LIBOR Termination May Be Postponed to 2023
December 1, 2020

Day Pitney Alert

New Jersey Economic Development Authority Promulgates New Programs to Assist Businesses Impacted by COVID-19 Outbreak
March 31, 2020

Day Pitney Alert

Day Pitney Elects Four New Partners
January 4, 2021

Day Pitney Press Release

Patricia Jimenez Elected President of Connecticut Hispanic Bar Association
June 26, 2020

Patricia "Paty" Jimenez has been elected President of the Connecticut Hispanic Bar Association (CHBA).

Day Pitney Welcomes Its Fall 2019 Incoming Associate Class
September 3, 2019

Day Pitney Press Release

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
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