News & Analysis as of September 13, 2024

Enforcement

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ABA Sound Advice: Conducting Civil Rights Audits: Benefits and Best Practices
The Justice Insiders: The Administrative State is Not Your Friend - A Conversation with Professor Richard Epstein
Litigation developments: federal forum provisions
The "Compass Rose" Method for Corporate Witness Interviews
Investment Management and Private Funds Roundtable: TALF 2020 and PPP Update
Securities Litigation and Disclosure Issues
Investment Management Roundtable Discussion – Regulatory and Enforcement Update
Podcast: Non-binding Guidance: SEC Disclosure Issues for Life Sciences Companies
Life Sciences Quarterly (Q3 2019): SEC Enforcement and Class Actions Regarding FDA Communications
Podcast: Credit Funds: What Managers Need to Know and Practical Tips to Avoid Insider Trading Risks

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

Proskauer - Regulatory & Compliance on 3/8/2024

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

This Week In Securities Litigation (Week ending February 7, 2014)

Dorsey & Whitney LLP on 2/10/2014

Matthew Martoma was convicted of insider trading by a Manhattan jury. That jury found him guilty of one count of conspiracy and two counts of securities fraud. The convictions continues the unbroken string of victories in...more

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Securities Litigation › Hedge Funds › Enforcement

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

This Week In Securities Litigation (Week ending February 7, 2014)

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