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Tipping for Nothing: Supreme Court to Tackle Insider Trading Split over Tippee Liability
  • Carrington Coleman
  • USA
  • February 2 2016

Last week, the Supreme Court agreed to hear United States v. Salman to resolve a split over insider trading liability. Because “all disclosures of


Fund Manager Sanctioned by SEC for Overcharging Fees and Misleading Investors About Asset Valuation
  • Katten Muchin Rosenman LLP
  • USA
  • January 24 2016

Equinox Fund Management, LLC agreed to refund investors US $5.4 million plus interest and pay a fine of US $400,000 to resolve charges by the


SEC Announces 2016 Examination Priorities
  • Baker & Hostetler LLP
  • USA
  • January 11 2016

Earlier today, the Office of Compliance Inspections and Examinations (OCIE) of the United States Securities and Exchange Commission (SEC) announced


SEC Announces 2016 Examination Priorities
  • Paul, Weiss, Rifkind, Wharton & Garrison LLP
  • USA
  • January 11 2016

Earlier today, the staff of the SEC's Office of Compliance Inspections and Examinations ("OCIE") announced its examination priorities for 2016. Below


Hedge funds: a look toward 2016
  • Baker & Hostetler LLP
  • USA
  • January 8 2016

On December 2, 2015, BakerHostetler's Hedge Fund Industry Practice hosted a program called "Hedge Funds: A Look Toward 2016" at the New York Yacht


SEC Release on Transfer Agents Addresses Restricted Securities and Crowdfunding
  • Stinson Leonard Street LLP
  • USA
  • December 22 2015

The SEC has issued a release soliciting comment on the regulation of transfer agents. After some initial background, it's divided into two parts. The


Regulatory Priorities Corner
  • Ropes & Gray LLP
  • USA
  • December 8 2015

The following brief updates exemplify trends and areas of current focus of relevant regulatory authorities: SEC OCIE Issues Risk Alert on Outsourced


Recent action highlights SEC’s continuing scrutiny of private equity firms
  • Dechert LLP
  • USA
  • December 2 2015

A settled enforcement action announced by the U.S. Securities and Exchange Commission (SEC) on November 3, 2015 is but one in a growing list of SEC


SEC nabs private equity sponsor for conflicting investments
  • Stinson Leonard Street LLP
  • USA
  • November 25 2015

JH Partners, LLC, a private equity sponsor, recently agreed to settle SEC charges. According to the SEC the proceedings arose from negligent breaches


SEC fines advisers for allocating compliance expenses to funds
  • Sheppard Mullin Richter & Hampton LLP
  • USA
  • November 19 2015

On November 5, 2015, the SEC settled its action against two affiliated investment advisers to private equity funds concerning allegations that the