Estela Díaz

Akin Gump Strauss Hauer & Feld LLP

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Increasing Government Enforcement in Insider Trading of Commodities

Key Points - The DOJ and CFTC have filed insider trading charges against a Houston-based energy trader for allegedly disclosing confidential information to a third party who then used the information to trade profitably....more

2/11/2022 / Anti-Fraud Provisions , CFTC , Commodity Exchange Act (CEA) , Confidential Information , Department of Justice (DOJ) , Enforcement Actions , Insider Trading , Misappropriation , Non-Public Information , Securities and Exchange Commission (SEC)

District Court Endorses SEC’s “Shadow Insider Trading” Theory – An Analysis of the Court’s Decision and its Potential Implications...

As previously reported, in August 2021, the U.S. Securities and Exchange Commission filed a complaint in SEC v. Panuwat, initiating the first enforcement action seeking to proscribe as prohibited insider trading the practice...more

1/26/2022 / Confidentiality Agreements , Insider Trading , Motion to Dismiss , Non-Public Information , Private Funds , Rule 10b-5 , Securities and Exchange Commission (SEC) , Securities Exchange Act , Securities Violations

SEC Risk Alert Addresses Private Fund Adviser Conflicts of Interest, Fee and Expense Management, and Policies and Procedures...

- On June 23, 2020, the SEC and OCIE issued its latest Risk Alert describing common deficiencies it has observed in recent examinations of registered investment advisers that manage private equity funds or hedge funds. -...more

7/6/2020 / Conflicts of Interest , Enforcement Actions , Fees , Hedge Funds , Investment Management , Non-Public Information , OCIE , Policies and Procedures , Private Equity Funds , Registered Investment Advisors , Risk Alert , Securities and Exchange Commission (SEC)

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