Jennifer L. Klass

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New York: 101 Park Avenue
New York, NY 10178-0060
Phone: 212.309.7105
Fax: 212.309.6001

51 Publications Found

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Date	Title	Publication
01/31/1201/31/12	2011 Year in Review: Asset Management Roundtable View Presentation	Speech
09/21/11September 2011	Electronic Delivery of Form ADV, IAA Newsletter: Compliance Corner View Article	Article
09/19/1109/19/11	Wrap Fee Programs, presented for an OCIE Training Session View Presentation	Speech
03/04/1103/04/11	The New Adviser Disclosure Framework presented at the ALI-ABA Investment Adviser Regulation Conference View Presentation	Speech
12/06/1012/06/10	Form ADV Part 2, presented at the Philadelphia Compliance Roundtable, Philadelphia, PA View Presentation	Speech
11/11/1011/11/10	The Changing Regulatory Environment and the Impact on the Private Equity and Venture Capital Industry, presented for the PE WIN Educational Series View Presentation	Speech
11/01/10November 2010	SEC Adopts New Disclosure Brochure for Investment Advisers View Article	Article
09/29/1009/29/10	Compliance Roundtable Seminar View Presentation	Speech
07/09/1007/09/10	SEC Adopts Pay-to-Play Rule Under Investment Advisers Act View LawFlash	Investment Management and Private Investment Funds LawFlash
04/07/1004/07/10	Regulatory Initiatives: Overview of U.S. Regulatory Reform, presented at the 2010 Annual Private Fund Investors Roundtable View Presentation	Speech
02/24/1002/24/10	Expectations Regarding the New Regulatory Climate and Regulation, presented at the 3rd Annual Advanced Topics in Hedge Fund Practices Conference, New York View Presentation	Speech
01/07/1001/07/10	SEC Adopts Amendments to Advisers Act Custody Rule View LawFlash	Investment Management FYI
10/14/0910/14/09	Regulatory Update, presented at the 2009 IAA Fall Compliance Workshop, New York	Speech
09/15/0909/15/09	Legal and Regulatory Update, presented at the 2009 MMI Technology and Operations Conference, Jersey City, NJ	Speech
09/14/0909/14/09	Advisor Regulatory Panel, presented at the First Clearing LLC Fall 2009 Compliance Roundtable View Presentation	Speech
05/26/09May 2009	The Evolution of Past Specific Recommendations in Investment Adviser Advertisements, Investment Lawyer, Vol. 16, No. 5 View Article	Article
04/15/0904/15/09	Eighth Circuit Considers Gartenberg Factors View LawFlash	Investment Management FYI
03/18/0903/18/09	Back to Basics: FINRA Issues 2009 Examination Priorities View LawFlash	Securities Industry FYI
03/10/0903/10/09	Supreme Court Grants Certiorari in Jones v. Harris Associates L.P. View LawFlash	Investment Management FYI
02/24/0902/24/09	SEC Requires Interactive Data Disclosure for Funds’ Risk/Return Summaries View LawFlash	Investment Management FYI
02/02/09February 2009	What Boards Should Know About Negative Yield on Money Funds, Fund Directions, Vol. 18, No. 2 View Article	Article
01/06/0901/06/09	Implications of Negative Yield on Money Funds View LawFlash	Independent Directors FYI
12/23/0812/23/08	SEC Cautions: Don’t Cut Compliance View LawFlash	Independent Directors FYI
12/18/0812/18/08	SEC Staff Permit More Flexibility in the Use of Past Specific Recommendations View LawFlash	Investment Management FYI
11/14/0811/14/08	Current Topics for Investment Advisers, presented at the First Clearing Correspondent Services Compliance Roundtable, Washington, D.C. View Presentation	Speech

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Jennifer L. Klass