Genna Garver
PEOPLE

Genna Garver

Of Counsel
garver.genna@dorsey.com

Overview

GENNA GARVER WORKS CLOSELY WITH CLIENTS TO UNDERSTAND THEIR UNIQUE NEEDS AND GUIDE THEM THROUGH THE COMPLEX MAZE OF INVESTMENT REGULATION.

Genna takes pride in the close personal attention she provides when advising investment management clients in connection with federal and state securities laws, private fund formation and securities offerings. She has extensive experience representing financial institutions in transactional and regulatory matters. She focuses on representing investment advisers, hedge funds and other private investment funds implementing various investment strategies.

Genna advises clients on: formation and offering matters for both domestic and offshore funds; SEC and state investment adviser, broker-dealer and private fund regulation; Investment Advisers Act registration and compliance programs; and mock audits and regulatory examinations and investigations.

Genna is Of Counsel in Dorsey’s Corporate Group and chairs the Investment Management practice.

Education & Admissions

Northeastern University (J.D., 2000)

Bowdoin College (B.A., Government and Legal Studies, 1997), cum laude

Admissions

  • New York
  • Massachusetts
  • Connecticut

Experience

Select Presentations

  • Presenter, The Knowledge Group's "SEC Rule 204A-1: Personal Securities Trading, Ethics and Compliance," February 26, 2016
  • Webinar Playback: Second Annual Federal Enforcement Forum, February 24, 2016
  • Presenter, The Knowledge Group’s Hot Topics For Private Fund Managers, September 10, 2015   
  • Moderator, "Operating Hedge Funds in the New World Order," 100 Women in Hedge Funds, October 3, 2011
  • Panelist, 9th Annual Family Office Symposium, October 5-6, 2010
  • Panelist, "The Volcker Rule: A Brave New World for Financial Institutions," August 24, 2010
  • Panelist, "Private Adviser Registration and Regulation," August 18, 2010
  • Panelist, "Financial Regulatory Reform - Heightened Regulation and Dissolution of Systemically Risky Institutions," 100 Women in Hedge Funds, May 18, 2010
  • Panelist, "Hedge Fund Regulation - Where Do We Go From Here?" 100 Women in Hedge Funds, October 7, 2009

News & Resources

Articles

SEC Enforcement Q&A On Its Cooperation Initiative for Investment Advisers
SEC Proposes Broker-Dealer and Investment Adviser Standard of Conduct Rules and Interpretations to Enhance Retail Investor Protections and Transparency
OCIE Risk Alert Highlights the Most Frequent Adviser Fees and Expenses Deficiencies
SEC’s OCIE Announces National Exam Program Priorities
SEC Diversity Assessment Reports on Policies and Practices for Investment Advisers, Private Fund Advisers, Broker-Dealers and other SEC Regulated Entities
What Lies Ahead? Q1 2018 Investment Management Regulatory Updates and Reminders
SEC Issues Guidance on Investment Adviser Advertising Rule
Countdown to New Form ADV – Are You Ready?
SEC’s Latest Cybersecurity Risk Alert Identifies Elements of Robust Policies and Procedures
Co-author,"Rise of the Machines: SEC Issues Guidance on Robo-Advisers," The Banking Law Journal
Rise of the Machines: SEC Issues Guidance on Robo-Advisers
Common Compliance Issues for Investment Advisers
Form ADV Gets an Overhaul
SEC acts against Private Equity Firm for Acting as an Unregistered Broker
SEC Raises Qualified Client Threshold for Investment Adviser Performance Fees
The SEC Proposes Rules to Address Investment Advisor and Broker-Dealer Incentive Based Compensation
The SBIC Advisers Relief Act Becomes Law—Changes to SEC and State Investment Adviser Registration Requirements
SEC Approves Proposals to Modernize and Enhance Reporting Regime for Registered Funds and Investment Advisers
Co-author, "The JOBS Act: Potential Pitfalls for Pooled Investment Vehicles and their General Partners, Managers and/or Regional Center Sponsors," National Law Review
Co-author, "SEC Proposes New Exemption Rules For Smaller Funds And Advisers," FINalternatives
Co-author, "FinReg Update: SEC Proposes Family Office Definition," FINalternatives
Co-author, "Connecticut Welcomes You! Federal Financial Regulatory Reform Restores Connecticut’s Authority over Hedge Fund Advisers," The Hedge Fund Law Report
Co-author, "Volcker Rule: Implications of the Volcker Rule - Managing Hedge Fund Affiliations with Banks," The Hedge Fund Law Report
Co-author, "Regulating The Business of Private Fund Advisers," Law360
Co-author, "Leveling The Playing Field? House Committee Approves SEC Registration For Some Private Fund Advisers, Exempts Others," FINalternatives

News & Press Mentions

Dorsey Of Counsel Genna Garver Comments on SEC's Form ADV
Investment Regulatory Veteran Genna Garver Joins Dorsey

Industries & Practices

  • Banking
  • Blockchain & Digital Assets
  • Financial Services Regulatory
  • Investment Funds
  • Investment Management
  • Private Equity
  • Securities & Financial Services Litigation & Enforcement

Professional & Civic

Professional Achievements

  • Member, 100 Women in Hedge Funds Scholarship Committee, 2010-Present
  • Member, National Society of Compliance Professionals, 2010-Present
  • Member, 7 Degrees of Women in Finance
  • Member, Connecticut Hedge Fund Association

Community Involvement

  • Board Member, St. Luke’s School Alumni Association (2012-Present)
  • Ski Team Member, Connecticut Industrial Ski Counsel (2011-Present)
  • Alumni Admissions Volunteer, Bowdoin College (2009-Present)

Accolades

  • Listed, EB5Investor magazine's "Top 25 EB-5 Attorneys," 2013
  • Team Member, Corporate Board Member magazine and FTI Consulting Inc., one of "America’s Best Corporate Law Firms," 13th Annual Legal Industry Study, 2013
Genna Garver