We use cookies to customise content for your subscription and for analytics.
If you continue to browse Lexology, we will assume that you are happy to receive all our cookies. For further information please read our Cookie Policy.
Results 1 to 5 of 6
Most popular |Most recent

The Shape of Things to Come: OCIE Announces Examination Priorities for 2016

USA - January 13 2016 The staff of the Securities and Exchange Commission (the “SEC”) recently published a summary of the select priorities of the SEC’s Office of...

Jim Pastore, Kenneth J. Berman, Michael P. Harrell, Gregory T. Larkin, Lee A. Schneider.

Two Decisions Highlight Significant Litigation Challenges for Prosecutors and Regulators

USA - December 17 2015 The Securities & Exchange Commission ("SEC") and the Department of Justice ("DOJ") this month were handed losses in two high-profile appeals involving...

David A. O'Neil, Sean Hecker, Paul R. Berger, Bruce E. Yannett, Jonathan R. Tuttle.

SEC settles action concerning adequacy of policies to prevent dissemination of material nonpublic information

USA - December 2 2015 On November 24, 2015, the Securities and Exchange Commission (the "SEC") announced a settled action against Marwood Group Research LLC ("Marwood"), a...

Kenneth J. Berman, Paul R. Berger, Matthew E. Kaplan, Jonathan R. Tuttle, Ada Fernandez Johnson.

SEC issues cybersecurity guidance for registered investment advisers and funds

USA - May 7 2015 The SEC's Division of Investment Management has issued an IM Guidance Update addressing cybersecurity issues faced by registered investment advisers...

Jeffrey P. Cunard, Jim Pastore, Kenneth J. Berman, Jeremy Feigelson, Christopher S. Ford.

Investment adviser pleads guilty to lying to SEC officials during an examination

USA - September 24 2013 On September 13, 2013, the SEC charged Fredrick D. Scott ("Scott"), the owner of a New York-based investment advisory firm, with defrauding investors...

Kenneth J. Berman, Michael P. Harrell, John V. Ponyicsanyi, Casey P. Cohen.