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New York Expands Liability for Employee Claims for Unpaid Services Performed in New York to the Top 10 Shareholders of Privately Held Corporations Organized in Other States

USA - February 3 2016 Under a New York law in effect for decades, the top 10 shareholders of a privately held New York corporation can be held liable in certain…

Julie M Allen, Jeffrey M Kropp, Steven O. Weise, Michael A Woronoff

New Year: New Regulatory Developments Affecting Managers of Hedge Funds, Private Equity Funds and Other Private Funds

OECD, USA - January 25 2016 Regulators were busy at the end of 2015, especially in the United States, perhaps being motivated to push forward new rule proposals in anticipation…

Howard J Beber, Sarah K Cherry, Robert G Leonard, Michael F Mavrides, Christopher M Wells

SEC Staff Announces 2016 OCIE Examination Priorities

USA - January 13 2016 On January 11, 2016, the staff of the Office of Compliance Inspections and Examinations (OCIE) of the Securities and Exchange Commission (SEC)…

Howard J Beber, Sarah K Cherry, Anthony M Drenzek, Robert G Leonard, Michael F Mavrides

SEC sets compliance date for Pay-to-Play Rule's ban on third-party solicitation of government entities

USA - July 15 2015 On June 25, 2015, the Securities and Exchange Commission (SEC) set a compliance date of July 31, 2015 for the ban on payments to third parties for the…

Howard J Beber, Sarah K Cherry, Robert G Leonard, Michael F Mavrides, Christopher M Wells

Recommended actions for hedge fund, private equity fund and other private fund advisers to prevent possible whistleblower violations

USA - June 8 2015 On April 1, 2015, the Securities and Exchange Commission (SEC) announced that it had settled its first enforcement action under SEC Rule 21F-17…

Howard J Beber, Sarah K Cherry, Robert G Leonard, Michael F Mavrides, Christopher M Wells