Tag Archives: SEC
SEC Risk Alert Highlights Renewed Focus on Insider Trading and MNPI Policies and Procedures for Fund Managers
The Bottom Line of the SEC Proposed Private Fund Rules
Conflicts of Interest: How High Will the Bar be Raised?
SEC Proposes Extensive New Rules Applicable to SPACs and de-SPAC Transactions
SEC Division of Examinations Announces 2022 Examination Priorities
The Trend of Increasing Disclosure Obligations for Private Funds Continues in 2022
SEC Proposes Advisers Act Reforms Focusing on Private Fund Investor Protections
2021 SEC Enforcement Results – Takeaways for Fund Managers
SEC Chair Gensler Signals SEC Policies for Private Funds
SEC Is Exploring Reforms Regarding Private Fund Disclosure Of Conflicts Of Interest And Fees and Expenses
U.S. Federal Regulators Turn Up the Heat on Cryptocurrency Trading Platforms
Second Circuit Upholds Insider Trading Conviction, Finding Sufficient Confidentiality Duty and Personal Benefit
Valuation in Times of Market Disruption
The Ripples Behind the SPAC Wave
Regulatory Crackdown on Ransomware
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
