Henry Nelson Massey
Day Pitney LLP
Articles
Beyond a culture of compliance: securities regulators emphasize disclosure
USA - May 29 2013 Recent statements by securities regulators emphasize that financial firms need to move beyond a "culture of compliance" to ensure that investors have…
CFTC external business conduct standards - temporary relief to foreign exchange transactions
USA - May 8 2013 A no-action letter issued on May 2 provides swap dealers and major swap participants with temporary relief from compliance with External Business…
Increased SEC focus on broker-dealer registration issues for private fund managers
USA - April 12 2013 The Securities and Exchange Commission (SEC) is cracking down on private fund managers for not using registered broker-dealers for fundraising. At…
R. Scott Beach, Julia M. Boyd, Samuel A. Jennings, Greg H. Kahn
SEC finds fault with adviser custody practices
USA - March 8 2013 On March 4, the Office of Compliance Inspections and Examinations of the U.S. Securities and Exchange Commission ("SEC") issued a Risk Alert on…
New Jersey "angel" tax credit seeks to spur emerging technology investment
USA - February 6 2013 "Angel" investors can receive a new tax credit for investments in New Jersey emerging technology companies. Under the New Jersey Angel Investor Tax…
