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A Practical Guide to the Regulation of Hedge Fund Trading Activities - Rule 105 of Regulation M and Tender Offer Rules

USA - June 13 2019 Rule 105 of Regulation M may create more anxiety among compliance professionals in the hedge fund industry than any other SEC rule. It is a "strict...

Edward A Kwalwasser, Frank Zarb.

Rocky Mountain Securities Conference: A Review Of Enforcement

USA - June 11 2019 The SEC, in conjunction with the Colorado Bar Association and Colorado Society of Certified Public Accountants, recently sponsored the 51st Annual...

Hena M. Vora.

DC Circuit Opinion Reaffirms Fiduciary and Disclosure Obligations of Advisers While Rejecting SEC Finding of “Willful” Violations

USA - May 13 2019 The DC Circuit recently released an opinion addressing the SEC’s administrative findings against registered investment adviser The Robare Group (TRG)...

Anthony M Drenzek, Joshua M Newville, Ariella E. Muller.

The Top Ten Regulatory and Litigation Risks for Private Funds in 2019

USA - February 20 2019 An increasingly sophisticated and active OCIE division, innovative market disruptors, a maturing credit cycle, and a philosophical change in how the...

Michael R Hackett, Timothy W Mungovan, Anthony M Drenzek, Joshua M Newville, William D Dalsen.

Bharara Task Force on Insider Trading

USA - October 15 2018 Former SDNY U.S. Attorney Preet Bharara and SEC Commissioner Jackson recently announced, via NY Times op-ed, the creation of the Bharara Task Force on...

Joshua M Newville.