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Seward & Kissel LLP

SEC Voluntarily Dismisses Action against Hedge Fund Manager over Safeguarding Confidential Information while Participating on...

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On April 7, 2024, the United States District Court for the District of Connecticut approved the Securities and Exchange Commission’s request to dismiss its action against a hedge fund manager for the manager’s alleged failure...more

Sheppard Mullin Richter & Hampton LLP

United States v. Blaszczak: Second Circuit Ruling Creates Opening for Significant Increase in Insider Trading Prosecutions

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The Second Circuit recently took an unexpected plunge into the torrid waters of insider trading law. Following several years of decisions limiting the government’s broad interpretation of what constitutes a personal benefit...more

Patterson Belknap Webb & Tyler LLP

Newman’s “Meaningfully Close Personal Relationship” Requirement No Longer Good Law

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A divided Second Circuit panel (Katzmann, Pooler (dissenting), Chin) on Wednesday upheld the insider trading conviction of former SAC Capital portfolio manager Mathew Martoma. Confronting its precedent in United States v....more

King & Spalding

Compensation and Benefits Insights – September 2016 #2

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Hardly Water Under the Bridge: NLRB, SEC, OSHA Mount Offensive Against Confidentiality Agreements - A recent New York Times story shed light on complaints by an employee of Bridgewater Associates, a $154 billion hedge...more

Akin Gump Strauss Hauer & Feld LLP

Special Report: The NLRB’s Complaint Against Bridgewater and What It Means for Investment Managers

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Key Points - - The National Labor Relations Board has filed a complaint against Bridgewater Associates, challenging contractual provisions of a type that are commonplace at hedge funds and private equity firms. ...more

Robins Kaplan LLP

Your daily dose of financial news - The Brief – 8.18.16

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A SDNY jury has found former JPMorgan banker Sean Stewart guilty of insider trading based on allegations that Stewart was leaking confidential information about health care company mergers to his dad....more

Hinshaw & Culbertson LLP

The Lawyers' Lawyer Newsletter - Recent Developments in Risk Management - August 2016

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Joint Clients — Confidentiality — Right to See Clients' File - New York State Bar Association Committee on Professional Ethics Opinion 1070 (10/9/15) - Risk Management Issue: In a joint client representation, if one...more

Katten Muchin Rosenman LLP

Bridging the Week - June 2016 #3

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SEC Overturns CBOE Determination That Individual Traders of Two Omnibus Accounts Were Customers Requiring Application of Customer Identification Rule - The Securities and Exchange Commission set aside a determination by...more

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