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R. Scott "Scott" Beach Document Search Results (8) Sort by:  | Updated SEC Guidance on the Family Office Exclusion
R. Scott "Scott" Beach, Jeffrey A. Clopeck, Samuel A. Jennings; Day Pitney LLP;
Legal Alert/Article March 6, 2012, previously published on March 2, 2012 Family offices are entities established by wealthy families to manage their wealth, plan for their families' financial future, engage in investment opportunities and provide other services to family members. A new rule created by the Securities and Exchange Commission (the "Family Office...
| | Massachusetts Securities Division Comments on Social Media Use by Investment Advisers
R. Scott "Scott" Beach, Jeffrey A. Clopeck, Samuel A. Jennings, Jonathan R. Morris; Day Pitney LLP;
Legal Alert/Article February 9, 2012, previously published on February 8, 2012 The Massachusetts Securities Division (the "Division") recently released an analysis of the findings of a survey sent to all 576 Massachusetts-registered investment advisers regarding their use of social media. The survey is similar to the recently released Securities and Exchange...
| | SEC Reminds Investment Advisers of Social Media Risks; Charges an Investment Adviser for Abuse of LinkedIn
R. Scott "Scott" Beach, Jeffrey A. Clopeck, Samuel A. Jennings, Jonathan R. Morris; Day Pitney LLP;
Legal Alert/Article February 9, 2012, previously published on February 8, 2012 The SEC recently charged an Illinois-based investment adviser with offering to sell fictitious securities on LinkedIn. On the same day, the SEC's Office of Compliance Inspections and Examinations ("OCIE") issued its first Risk Alert regarding the use of social media by investment advisers...
| | SEC Crackdown On Investment Adviser Compliance Deficiencies
R. Scott "Scott" Beach, Jane Helen Broderick, Samuel A. Jennings, Henry Nelson Massey, Jonathan R. Morris; Day Pitney LLP;
Legal Alert/Article December 7, 2011, previously published on December 1, 2011 The Securities and Exchange Commission (the "SEC") is cracking down on firms with compliance deficiencies under the Investment Advisers Act of 1940, as amended (the "Advisers Act"). Although three SEC enforcement cases announced on November 28, 2011, involve extreme disregard by...
| | Newly Adopted Fund Manager Reporting Obligations
R. Scott "Scott" Beach, Samuel A. Jennings, Jonathan R. Morris; Day Pitney LLP;
Legal Alert/Article November 8, 2011, previously published on November 4, 2011 On October 26, 2011, the Securities and Exchange Commission (the "SEC") adopted new Rule 204(b)-1 under the Investment Advisers Act of 1940, as amended (the "Advisers Act"), which requires certain federally registered investment advisers that serve as managers to hedge funds and...
| | Connecticut Department of Banking Releases Orders Clarifying Investment Adviser Registration and Regulation
R. Scott "Scott" Beach, Samuel A. Jennings, Jonathan R. Morris; Day Pitney LLP;
Legal Alert/Article July 19, 2011, previously published on July 15, 2011 On July 11, 2011, the State of Connecticut Department of Banking (the "Department") released three Orders regarding Connecticut investment adviser registration and regulation. Among other things, the Orders provide that investment advisers currently exempt from registration with the...
| | SEC Adopts Rules Implementing Dodd-Frank Investment Adviser Registration and Exemption Requirements
R. Scott "Scott" Beach, Samuel A. Jennings, Jonathan R. Morris; Day Pitney LLP;
Legal Alert/Article July 14, 2011, previously published on July 11, 2011 The Securities and Exchange Commission ("SEC") recently issued final rules and rule amendments implementing certain provisions of Title IV of the Dodd-Frank Wall Street Reform and Consumer Protection Act ("Dodd-Frank") that amend the Investment Advisers Act of 1940, as amended...
| | Connecticut Updates Its Business Corporation Act
R. Scott "Scott" Beach, Elida "Eli" Salcedo, Robert G. "Rob" Siegel, Mark G. Sklarz, David A. Swerdloff, Lane T. Watson; Day Pitney LLP;
Legal Alert/Article July 14, 2011, previously published on July 12, 2011 Connecticut has adopted legislation to update the Connecticut Business Corporation Act, which governs stock corporations formed under Connecticut law (the "amendments"). Public Act 11-147 was signed by Governor Malloy on July 8, 2011, and will become effective on October 1, 2011. The...
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