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Alphabet Soup for Asset Managers: New and Revised SEC Forms 13H, ADV, and PF
 

As 2012 begins, investment advisers should keep in mind certain new and revised forms implemented in 2011 by the Securities and Exchange Commission (the "SEC").  These developments will likely require investment advisers to, at a minimum, monitor their ongoing trading levels and change the way they complete their Form ADV.  Certain registered investment advisers may have to compile, and in some cases, make publicly available, previously unsolicited information regarding the funds they advise.  In addition, some of these requirements (in particular the new Form 13H) may be relevant even for investment advisers who are not registered with the SEC or licensed by a state regulator.

 
2012 Public Company Update

PublicCompanyUpdate

January 31, 2012 -
 
Join Us For Our 6th Annual Event
 
7:30 a.m. - 8:00 a.m. - Breakfast
8:00 a.m. - 9:30 a.m. - Presentation
 
RSVP now to
lauren.goldman@dgslaw.com
with your contact information

Attendees will get an in-depth look at the issues sure to affect public companies in the coming year. Industry professionals will provide their outlook for capital markets in 2012 and DGS attorneys will present a discussion of regulatory changes impacting public companies. Topics will include:

  • Outlook for capital markets in 2012
  • Status of Dodd-Frank changes, including:
    • Disclosure of pay-for-performance and CEO pay ratio
    • Compensation consultant conflicts
    • Whistleblower rules
  • Review of 2011 say-on-pay votes and best practices
  • Highlights from the ISS Proxy Voting Guidelines
  • The current state of proxy access and what to expect next
Stacy A. Carpenter Recognized with 2011 Davis Award

Stacy A. Carpenter was honored last night with the 2011 Richard Marden Davis Award at a dinner in her honor. The award recognizes her outstanding service to the legal community as well as civic and charitable leadership.

“It is truly an honor to receive such a prestigious award,” said Carpenter. “To be among such a highly regarded class of past winners is a humbling experience.”

The Davis Award is presented annually “to a Denver lawyer who is 40-years-old or younger and combines excellence as a lawyer with civic, cultural, educational, and charitable leadership.” The award was created in memory of Richard Davis, one of the founders of Davis Graham & Stubbs, who devoted himself tirelessly to the profession and the community. Each honoree “best exemplifies the character and promise of Richard Davis at that stage in his career.”

Read the full release.

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