Samuel A. Jennings from Day Pitney LLP Author Profile Page

Samuel A. Jennings

Day Pitney LLP

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Corporate/Commercial Law Finance and Banking Tax

Increased SEC Focus on Broker-Dealer Registration Issues for Private Fund Managers

13 Apr 2013 | United States

The SEC's National Examination Program Identifies Significant Deficiencies Involving Adviser Custody And Safety Of Client Assets

17 Mar 2013 | United States

SEC Finds Fault With Adviser Custody Practices

13 Mar 2013 | United States

CFTC No-Action Relief For Funds-Of-Funds

12 Dec 2012 | United States

Updated SEC Guidance On The Family Office Exclusion

18 Apr 2012 | United States

SEC Crackdown On Investment Adviser Compliance Deficiencies

06 Dec 2011 | United States

Newly Adopted Fund Manager Reporting Obligations

09 Nov 2011 | United States

Connecticut Department Of Banking Releases Orders Clarifying Investment Adviser Registration And Regulation

19 Jul 2011 | United States

SEC Adopts Rules Implementing Dodd-Frank Investment Adviser Registration And Exemption Requirements

13 Jul 2011 | United States

Investment Management Compliance Update: SEC Adopts Pay-To-Play Rule For Advisers

19 Jul 2010 | United States

Financial Regulatory Reform: Banking Provisions

19 Jul 2010 | United States

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