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In the Media

Publisher: Law360
December 12, 2011

Targeting Adviser Compliance Deficiencies

Law360 published a recent Day Pitney client alert that looked at the SEC's crackdown on investment adviser firms with compliance deficiencies. The article highlights three examples of the types of penalties the SEC could impose on advisers (and possibly chief compliance officers) that disregard SEC regulations.

Contacts

Henry Nelson Massey
Henry Nelson Massey
Of Counsel
Parsippany, NJ
| (973) 966-8105
New York, NY
| (212) 297-2416
R. Scott Beach
R. Scott Beach
Partner
Greenwich, CT
| (203) 862-7824
Stamford, CT
| (203) 977-7336

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