Samuel J. Waldon
Proskauer Rose LLP
Articles
Three Critical Questions That Will (Hopefully) be Answered by the SEC’s Lawsuit against Ripple
USA - February 22 2021 Late last year, the SEC filed a litigated action in the U.S. District Court for the Southern District of New York against Ripple Labs Inc. and two of…
President Biden’s SEC Enforcement Program: What Should Private Fund Managers Expect?
USA - January 20 2021 As President Biden continues to assemble his economic team, reports have emerged that President Biden will nominate Gary Gensler as the next Chair of…
SEC Enforcement’s 2020 Annual Report Reflects Shifting Priorities for Fund Managers: Four Key Takeaways
USA - November 4 2020 On Monday the SEC announced its enforcement results for FY 2020, accompanied by a report from the Director of its Division of Enforcement. This…
SEC Announces 2020 National Compliance Outreach Seminar for Investment Companies and Investment Advisers
USA - October 29 2020 On October 7th, 2020, the Securities and Exchange Commission (SEC) announced the rescheduled date of its 2020 national compliance outreach seminar…
Asserting Reliance on Compliance Consultants as a Defense: Admissibility and Effectiveness
USA - October 15 2020 Asset managers commonly engage regulatory compliance consultants to aid them in addressing regulatory requirements and implementing compliance…
