Sender Primary Liability for Misstatements in PPMs and Prospectuses: Lorenzo v. SEC (No. 17-1077 -- U.S. – 2019).
On March 27th, the Supreme Court issued a 1934 Act Rule 10b-5 opinion that will have implications for...more
4/5/2019
/ Corporate Officers ,
Custody Rule ,
Digital Assets ,
Directors ,
Enforcement Actions ,
Intent to Defraud ,
Investment Funds ,
Janus Capital Group Inc v First Derivative Traders ,
Lorenzo v SEC ,
No-Action Relief ,
Personal Liability ,
Proposed Rules ,
Puerto Rico ,
Retirement Plan ,
Rule 10b-5 ,
SCOTUS ,
Securities and Exchange Commission (SEC) ,
Securities Fraud
Public and private pension plans, endowments, hedge funds and other institutional investors are investing trillions of dollars annually with alternative asset managers. Many of these fund managers are well-established with a...more
11/21/2017
/ Asset Management ,
CFOs ,
Department of Labor (DOL) ,
Due Diligence ,
Employee Retirement Income Security Act (ERISA) ,
Fund Managers ,
Individual Retirement Account (IRA) ,
Institutional Investors ,
Investment Adviser ,
Investors ,
Pension Funds ,
Recordkeeping Requirements ,
Reporting Requirements ,
Retirement Plan