Samuel J. Waldon
Proskauer Rose LLP
Articles
2021 SEC enforcement results - Takeaways for fund managers
USA - November 23 2021 On November 18, 2021, the SEC’s Division of Enforcement announced its Enforcement Results for Fiscal Year 2021, and there are a few key takeaways for…
SEC is exploring reforms regarding private fund disclosure of conflicts of interest and fees and expenses
USA - September 20 2021 On September 14, 2021, U.S. Securities and Exchange Commission Chair Gary Gensler testified before the Senate Committee on Banking, Housing, and…
SEC brings first enforcement action against alternative data provider
USA - September 16 2021 On September 14, 2021, the Securities and Exchange Commission (“SEC”) filed a settled securities fraud action against App Annie Inc., one of the…
SEC brings first enforcement action against alternative data provider
USA - September 15 2021 Yesterday, the Securities and Exchange Commission (“SEC”) filed a settled securities fraud action against App Annie Inc., one of the largest sellers…
U.S. federal regulators turn up the heat on cryptocurrency trading platforms
USA - August 27 2021 With new types of digital assets and related business on the rise, federal authorities have been busy investigating. Recently, the SEC, FinCEN and…
