Publications

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14 results found. Viewing page 1 of 1

Article Title Publication Date
SEC Adopts Amendments to Form PF BulletPoint June 2023
SEC’s Recent Enforcement Sweeps Targeting Off-Channel Communications of Fund Advisers BulletPoint April 2023
How the SEC’s Proposed New Safeguarding Rule May Impact Private Fund Advisers BulletPoint March 2023
SEC Releases Examination Priorities for 2023 BulletPoint February 2023
Does The Supreme Court’s Decision in Lucia Alter the Fairness of SEC Administrative Proceedings BulletPoint June 2018
Criminal Conviction Highlights the Risk of Insider Trading Liability for Using “Political Intelligence” BulletPoint May 2018
SEC Announces 2018 Examination Priorities BulletPoint February 2018
“Who Is Who?” and “Who Owns Whom?”- Are You Ready for LEIs? GlobalNote November 2017
SEC Amendments to Form ADV Effective on October 1, 2017 BulletPoint September 2017
2nd Circuit upholds insider trading conviction of Mathew Martoma, striking down a key holding of Newman BulletPoint August 2017
The Law of Insider Trading: A Primer For Investment Managers Other Publications January 2017
Supreme Court Clarifies “Personal Benefit”: Requirement for Insider Trading Liability BulletPoint December 2016
Regulatory Provisions in the US Affecting Non-US Investment Advisers GlobalNote March 2016
SEC’s Office of Compliance Inspections and Examinations Releases its 2016 Examination Priorities BulletPoint January 2016

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14 results found. Viewing page 1 of 1

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