Category Archives: SEC
Subscribe to SEC RSS FeedSpace SPAC Draws SEC Enforcement Action for Allegedly Misleading Disclosures and Due Diligence Failures
Three Key Considerations for Fund Sponsors when Participating in Bankruptcy Proceedings
Focus on ESG Will Continue to Grow Under Biden Administration
Cryptocurrencies and Other Digital Assets: A New Regime
Second Circuit Upholds Insider Trading Conviction, Finding Sufficient Confidentiality Duty and Personal Benefit
Valuation in Times of Market Disruption
Top Ten Regulatory and Litigation Risks for Private Funds in 2021
SEC Division of Examinations Announces its Examination Priorities for 2021
Three Critical Questions That Will (Hopefully) be Answered by the SEC’s Lawsuit against Ripple

2020 Proskauer Annual Review and Outlook for Hedge Funds, Private Equity Funds and Other Funds
SEC Revises Marketing Rule for Registered Investment Advisers
President Biden’s SEC Enforcement Program: What Should Private Fund Managers Expect?
Crypto Asset Regulation: Is the US or UK Keeping Up Best With This Emerging Market?
OCIE Issues Risk Alert on Common Deficiencies Observed in Adviser Compliance Programs
SEC Enforcement’s 2020 Annual Report Reflects Shifting Priorities for Fund Managers: Four Key Takeaways
SEC Announces 2020 National Compliance Outreach Seminar for Investment Companies and Investment Advisers
Asserting Reliance on Compliance Consultants as a Defense: Admissibility and Effectiveness
SEC Expands the “Accredited Investor” and “QIB” Definitions and the Permitted Scope of “Testing the Waters”
Private Equity and Cybersecurity: A Guide to Preparing for and Responding to a Breach
