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  • May 20, 2011Oren Chaplin Presents at Charles Schwab Knowledge Forum


    May 20, 2011

    Norris McLaughlin, P.A.
    721 Route 202-206, Suite 200
    P.O. Box 5933
    Bridgewater, NJ 08807-5933
    Contact: Edward C. Miller, Jr.
    Chief Marketing Officer
    (908) 722-0700 x4224

    Oren Chaplin Presents at Charles Schwab Knowledge Forum

    Bridgewater, NJ (May 20, 2011) – Oren M. Chaplin, an attorney with the law firm Norris McLaughlin, P.A., presented a corporate and regulatory update entitled, “The Effect of Regulatory Changes for Investment Advisors,” for the Charles Schwab New York Metro Advisor Services Team. The update is part of the Knowledge Forum, a regional program presented by Charles Schwab. The event was co-sponsored by J.P. Morgan Asset Management and held on May 19, 2011, at the offices of JP Morgan Chase in New York, New York.

    Chaplin reviewed key topics of concern for investment advisers and hedge funds and how the Security Exchange Commission (“SEC”) and recent developments under the Dodd-Frank Wall Street Reform & Consumer Protection Act may affect their business practices. Eric Sande from Schwab Advisor Services also discussed how to deliver a positive client experience in a rapidly changing regulatory environment. The discussion topics included outsourcing and provisions in vendor contracts; elimination of the private adviser exemption; Form 13f filings; Employee Retirement Income Security Act (“ERISA”) fiduciary update; custody rule; and SEC versus transition to state registration. The presentation was approved and offered for 1.5 hours of Continuing Education credit and 1.5 hours of Continuing Professional Education credit.

    Chaplin has experience drafting merger, acquisition, and business planning documents and handling entity formation, corporate governance and due diligence matters. He is well versed in drafting and negotiating client referral, client services, consulting, employment and termination agreements, as well as internal compliance and supervisory policies and procedures. In addition, Chaplin regularly analyzes regulatory and compliance issues related to limited offerings, investment advisers, public and private investment companies, broker-dealers, insurance product agents and other financial industry entities under ERISA, the Investment Advisers Act of 1940, the Investment Company Act of 1940, the Securities Act of 1933, the Securities Exchange Act of 1934, and state Blue Sky laws. Chaplin has represented financial firms before federal and state bureaus of securities and frequently interacts with securities administrators in connection with examinations, inquiries, investigations and other proceedings.

    Chaplin has written articles for and had speaking engagements with the Journal of Financial Planning, Morningstar Advisor, Financial Advisor Magazine, Bloomberg Wealth Manager, The Active Manager, the National Association of Active Investment Managers, the Society of Financial Service Professionals, the Pennsylvania Institute of Certified Public Accountants, and others.

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    Posted in: News, Oren M. Chaplin, Securities |

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