Jennifer L. Klass
Email: jklass@morganlewis.com
- New York
-
101 Park Avenue
New York, NY 10178-0060
Phone: 212.309.7105
Fax: 212.309.6001
Publications
| Date | Type | Title |
| 01/31/2012 | Presentation | 2011 Year in Review: Asset Management Roundtable |
| September 2011 | Outside Publication | Electronic Delivery of Form ADV, IAA Newsletter: Compliance Corner |
| 09/19/2011 | Presentation | Wrap Fee Programs, presented for an OCIE Training Session |
| 03/04/2011 | Presentation | The New Adviser Disclosure Framework presented at the ALI-ABA Investment Adviser Regulation Conference |
| 12/06/2010 | Presentation | Form ADV Part 2, presented at the Philadelphia Compliance Roundtable, Philadelphia, PA |
| 11/11/2010 | Presentation | The Changing Regulatory Environment and the Impact on the Private Equity and Venture Capital Industry, presented for the PE WIN Educational Series |
| November 2010 | Outside Publication | SEC Adopts New Disclosure Brochure for
Investment Advisers |
| 09/29/2010 | Presentation | Compliance Roundtable Seminar |
| 07/09/2010 | LawFlash/Client Alert | SEC Adopts Pay-to-Play Rule Under Investment Advisers Act |
| 04/07/2010 | Presentation | Regulatory Initiatives: Overview of U.S. Regulatory Reform, presented at the 2010 Annual Private Fund Investors Roundtable |
| 02/24/2010 | Presentation | Expectations Regarding the New Regulatory Climate and Regulation, presented at the 3rd Annual Advanced Topics in Hedge Fund Practices Conference, New York |
| 01/07/2010 | LawFlash/Client Alert | SEC Adopts Amendments to Advisers Act Custody Rule |
| 10/14/2009 | Presentation | Regulatory Update, presented at the 2009 IAA Fall Compliance Workshop, New York |
| 09/15/2009 | Presentation | Legal and Regulatory Update, presented at the 2009 MMI Technology and Operations Conference, Jersey City, NJ |
| 09/14/2009 | Presentation | Advisor Regulatory Panel, presented at the First Clearing LLC Fall 2009 Compliance Roundtable |
| May 2009 | Outside Publication | The Evolution of Past Specific Recommendations in Investment Adviser Advertisements, Investment Lawyer, Vol. 16, No. 5 |
| 04/15/2009 | LawFlash/Client Alert | Eighth Circuit Considers Gartenberg Factors |
| 03/18/2009 | LawFlash/Client Alert | Back to Basics: FINRA Issues 2009 Examination Priorities |
| 03/10/2009 | LawFlash/Client Alert | Supreme Court Grants Certiorari in Jones v. Harris Associates L.P. |
| 02/24/2009 | LawFlash/Client Alert | SEC Requires Interactive Data Disclosure for Funds’ Risk/Return Summaries |
| February 2009 | Outside Publication | What Boards Should Know About Negative Yield on Money Funds, Fund Directions, Vol. 18, No. 2 |
| 01/06/2009 | LawFlash/Client Alert | Implications of Negative Yield on Money Funds |
| 12/23/2008 | LawFlash/Client Alert | SEC Cautions: Don’t Cut Compliance |
| 12/18/2008 | LawFlash/Client Alert | SEC Staff Permit More Flexibility in the Use of Past Specific Recommendations |
| 11/14/2008 | Presentation | Current Topics for Investment Advisers, presented at the First Clearing Correspondent Services Compliance Roundtable, Washington, D.C. |
| 11/13/2008 | Presentation | ERISA for Money Managers, presented at the ERISA for Money Managers: An Interactive Workshop, Boston |
| October 2008 | Presentation | Form ADV Part 2 and Regulation S-P, presented at the Investment Adviser Association Annual Compliance Workshop, Los Angeles; San Francisco; New York |
| 07/30/2008 | LawFlash/Client Alert | SEC and DOL Agree to Cooperate in Examinations |
| 07/22/2008 | LawFlash/Client Alert | SEC Staff Confirms that Hedge Fund Solicitors Are Not Subject to the Cash Solicitation Rule |
| 06/30/2008 | LawFlash/Client Alert | SEC Proposes Major Revisions to Rule 15a-6 |
| May/June 2008 | Outside Publication | An Inconvenient Truth: Disclosure of Conflicts of Interest in Proposed Form ADV Part 2, Practical Compliance & Risk Management for the Securities Industry |
| 04/28/2008 | Presentation | Investment Adviser Conflicts of Interest Disclosures, presented at the 2008 NSCP Midwest Regional Meeting, Chicago |
| 04/17/2008 | Presentation | Fiduciary Duty and Status, presented at the ERISA for Money Managers Workshop, New York |
| 04/17/2008 | Presentation | Hot Issues for Investment Advisers With Erisa Clients, presented at the ERISA for Money Managers Workshop, New York |
| 03/13/2008 | Presentation | Compliance Program Rules: Requirements, Responsibility, Accountability and Thinking Like an SEC Examiner, presented at the NRS Center form Compliance Professionals Investment Adviser Compliance Training, New York |
| 03/07/2008 | LawFlash/Client Alert | SEC Finally Publishes Proposed Amendments to Part 2 of Form ADV |
| 02/14/2008 | LawFlash/Client Alert | SEC Votes to Propose Amendments to Part 2 of Form ADV (Finally) |
| 12/06/2007 | Presentation | Compliance Officers and Compliance Programs, presented at the West Legalworks Investment Adviser Regulation: An A to Z Workshop, Miami |
| 12/06/2007 | Presentation | Investment Adviser Advertising, presented at the West Legalworks Investment Adviser Regulation: An A to Z Workshop, Miami |
| 12/06/2007 | Presentation | Managing Conflicts of Interest, presented at the West Legalworks Investment Adviser Regulation: An A to Z Workshop, Miami |
| 12/06/2007 | Presentation | Portfolio Trading Compliance, presented at the West Legalworks Investment Adviser Regulation: An A to Z Workshop, Miami |
| 11/15/2007 | Presentation | Annual Compliance Program Reviews, presented at the IAA Compliance Workshop, San Francisco |
| 11/15/2007 | Presentation | Selected Issues in Best Execution and Trading Practice, presented at the IAA Compliance Workshop, San Francisco |
| 10/01/2003 | Presentation | Performance Advertising |
| 10/01/2003 | Presentation | SEC Regulation Of Performance Advertising
By Investment Advisers |
| 09/08/2003 | Presentation | Improving Your Form ADV |
| 05/30/2003 | Presentation | Best Execution and Beyond |
| 05/30/2003 | Presentation | Investment Adviser Referral Arrangements |
| 04/24/2003 | Presentation | Investment Advisers on the Internet |
| 10/23/2002 | Presentation | Investment Adviser Performance Advertising |
| 10/23/2002 | Presentation | SEC Regulation of Performance Advertising by Investment Advisers |