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Hutcheon and Chaplin Present on State of Investment Adviser Regulation and Trends in Industry

Posted on October 31st, 2011

October 31, 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
ecmillerjr@nmmlaw.com

Hutcheon and Chaplin Present on State of Investment Adviser Regulation and Trends in Industry

 

New York, NY (October 31, 2011) – Peter D. Hutcheon and Oren M. Chaplin, attorneys with the law firm of Norris, McLaughlin & Marcus, P.A., will present “Regulation and the Investment Advisor,” a discussion about investment adviser regulation, with The Honorable Marc B. Minor, Chief of the New York Office of Attorney General’s Investor Protection Bureau. The event, which is being sponsored by the Financial Planning Association of New York, will be held on Wednesday, November 9, 2011, from 5:00 to 8:00 p.m., at the offices of MetLife, 1095 6th Ave (at 42nd St.), 23rd floor, New York, NY.

The panel will provide commentary on the state of investment adviser regulation and current trends relevant to the investment management industry. Pre-registration for the event is required. For more information about the Financial Planning Association of New York and to pre-register for the event, visit the FPANY’s website at www.fpany.org.

Hutcheon practices in the areas of corporate governance, commercial transactions, securities, banking, and finance. Hutcheon is experienced with securities matters ranging from investment adviser compliance to stock options to dividend reinvestment plans. He regularly counsels the management of public and private companies on a variety of corporate governance matters including the complexities of the Sarbanes-Oxley Act. He also represents clients seeking investment capital from private placements, venture capital and private equity deals, as well as firm commitment underwritten offerings of securities.

Hutcheon is now in his 31st year as Liaison from the American Bar Association’s State Regulation of Securities Committee to the New Jersey Bureau of Securities, and chaired the New Jersey Securities Advisory Committee appointed by the Attorney General from 1995 to 2001. Hutcheon is a long-time member of the American Bar Association’s Section on Business Law, LLC’s Partnerships and Unincorporated Business Organizations Committee and, for 22 years was a director (including 2 years as chair) of the New Jersey State Bar, Corporate and Business Law Section. He also chaired the State Bar’s Banking Law Section, and was chairman of the New Jersey Corporate and Business Law Study Commission from its inception in 1989 to 2002, where he provided reports and suggestions on business law developments to the New Jersey Legislature and the Governor.

Chaplin focuses his practice on business law and securities matters. He 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. He 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 commercial agreements including client referral, client services, consulting, employment and termination agreements, as well as Form ADV and internal compliance and supervisory policies and procedures.

Chaplin is a regular speaker on corporate law and securities issues and has appeared at events hosted by various financial industry businesses, groups and associations throughout the country including the National Association of Active Investment Managers, the Society of Financial Service Professionals, and the Pennsylvania Institute of Certified Public Accountants. He has been interviewed and has written numerous articles on business law topics in various publications, including Journal of Financial Planning, Morningstar Advisor Edition, Bloomberg Wealth Manager, Financial Advisor Magazine, Investment Advisor, Charles Schwab Institutional – Schwab Compliance Review, TD Ameritrade Institutional Advisor News, and The Active Manager.

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