Shawn Wooden Elected to Connecticut State Treasurer
Day Pitney Press Release
These are challenging times. The economy is distressed and investors have lost a large part of their investment savings. There have been many frauds, especially Ponzi schemes, which have caused catastrophic harm to investors. In this environment, institutional investors and financial services firms (including advisers, broker-dealers, intermediaries, and others) need to strengthen their compliance controls to ensure that compliance policies and procedures prevent violations from occurring, and detect and promptly correct violations that have occurred.
Day Pitney's Compliance Risk Services group assists organizations in designing and implementing comprehensive compliance programs. Our compliance group provides essential compliance services, including compliance risk assessments and audits, investigations, and compliance control improvements to mitigate compliance risks. Effective compliance programs enable companies to self-police their conduct by identifying, assessing, and correcting compliance problems before they cause harm to investors or are discovered by regulators. The following are examples of the types of compliance services we offer:
Recently, the SEC has targeted for close scrutiny compliance risks of financial services firms involving disclosure (especially potential conflicts of interest), custody (confirmation that clients' assets are safe), performance claims (for accuracy), and resources supporting the firm's compliance program. Commenting on the latter risk, the SEC has cautioned against making resource reductions to compliance programs that could undercut their effectiveness.
Day Pitney's Compliance Risk Services group stands prepared to assist with the necessary strategic and tactical thinking required to develop or improve an effective compliance program.
On January 31, David Waizer will be speaking at "Drafting Lasting Business Contracts: Simple, Powerful Strategies That Stand The Test of Time," a program and live webcast presented by the New Jersey Institute for Continuing Legal Education, a division of the New Jersey State Bar Association.
David Waizer presented on "Select Legal Issues for Emerging Companies" at the Rutgers Business School Collaborative for Technology Entrepreneurship and Commercialization (CTEC).
David Waizer gave a presentation, "Select Legal Issues for Startups," at the Rutgers Business School Collaborative for Technology Entrepreneurship and Commercialization (CTEC).
Rachel Gonzalez, Mary Rogers and Patrick McCarthy wrote an article "NLRB Eases Organizing of Temporary Workers" for CBIA’s H&R Safety Newsletter on the impact of the recent decision of the National Labor Relations Board (NLRB).
Day Pitney Press Release
Hank Massey, Lane Watson and Craig Gianetti were acknowledged in a white paper, "Closed For Business: Is New Jersey Pushing out Small- And Medium-Sized Companies?," written by RegentAtlantic.
Stamford, Conn., August 24, 2015 - Day Pitney is pleased to announce that 68 attorneys have been selected for inclusion in the 2016 Best Lawyers in America. Best Lawyers ranks lawyers through peer-review surveys, and has been published annually since 1983.
Copyright © 2024 Day Pitney LLP, all rights reserved.