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Proskauer - Regulatory & Compliance

SEC Settlement Highlights Risks for 13G Filers When Moving from Passive to Active Status

Proskauer - Regulatory & Compliance on

The SEC’s recent enforcement settlement involving a fund manager highlights the SEC’s focus on an investor’s “control purpose” triggering the requirement to file on a Schedule 13D as opposed to a short-form 13G. At issue was...more

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