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Proskauer hedge funds and other private funds annual review

USA - December 3 2014 In 2014, we saw a notable increase in the number of examinations of registered investment advisers by the Office of Compliance Inspections and…

Christopher M Wells, Howard J Beber, Peter McGowan, Robert G Leonard, Stephanie W. Berdik.

2015 Proskauer annual review and outlook for hedge, private equity and other private funds

USA - November 26 2015 The following annual review (Annual Review) is a summary of some of the significant changes and developments that occurred in the past year and…

Christopher M Wells, Howard J Beber, Joyce Y Ng, Robert G Leonard, Sean J Hill.

Hedge Fund Firms - What Do You Need to Consider Under the CCPA?

USA - December 11 2019 The California Consumer Privacy Act of 2018 (CCPA) will take effect on January 1, 2020, and hedge fund firms may be subject to the CCPA even if they…

Christina Hyun Jin Kroll, Christopher M Wells, Robert G Leonard, Ryan P Blaney, Stephanie J. Kapinos.

SEC announces cybersecurity enforcement action

USA - September 24 2015 On September 22, 2015, the Securities and Exchange Commission (SEC) announced the settlement of an enforcement action against a St. Louis-based…

Christopher M Wells, Howard J Beber, Kristen J. Mathews, Robert G Leonard, Sean J Hill.

SEC pursues “shadow trading” insider trading case

USA - August 25 2021 The SEC recently charged a former employee of a biopharmaceutical company with insider trading in advance of an acquisition but with a unique twist:…

Jonathan E. Richman, Joshua M Newville, Robert G Leonard, Samuel J. Waldon.