News & Analysis as of

Confidential Information › Investment Management

Seward & Kissel LLP

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

Seward & Kissel LLP on

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

Seward & Kissel LLP

Updated Alert: FinCEN Imposes New Reporting Requirements on LLCs and other Entities

Seward & Kissel LLP on

As a reminder to our clients and friends of the firm, the beneficial ownership reporting deadline is soon approaching. Applicable entities that were formed or registered to do business in the U.S. prior to this year, have...more

Allen Matkins

Does The SEC's Jurisdiction Really Extend To Any Person?

Allen Matkins on

Last week, the Securities and Exchange Commission announced that it had settled charges against a broker-dealer and two investment advisers for impeding their clients from reporting securities law violations to the SEC. ...more

McDermott Will & Emery

[Event] 2019 Private Client East Coast Forum - November 21st, New York, NY

McDermott Will & Emery on

The unique needs of ultra-high net worth families, their family office representatives and other advisers are multidimensional and ever-evolving. Join us November 21 for McDermott Will & Emery’s Private Client East Coast...more

Cadwalader, Wickersham & Taft LLP

Southern District of New York Vacates Insider Trading Guilty Plea Based on Insufficient Personal Benefit Evidence Under United...

Cadwalader, Wickersham & Taft LLP on

On June 21, 2019, in United States v. Lee, Judge Paul G. Gardephe of the U.S. District Court for the Southern District of New York issued an order vacating the guilty plea of a former investment portfolio analyst, Richard...more

Seyfarth Shaw LLP

FINRA Issues Guidance on the Handling of Customers When a Broker Leaves a Firm

Seyfarth Shaw LLP on

The Financial Industry Regulatory Authority (FINRA) recently issued some expectations/guidance to industry members on FINRA’s expectations when a broker leaves for another firm....more

Proskauer - Whistleblower Defense

Sixth Circuit Declines to Address the Definition of Dodd Frank “Whistleblower”

Proskauer - Whistleblower Defense on

On January 13, 2017, the Sixth Circuit in Verble v. Morgan Stanley Smith Barney, LLC, declined an opportunity to be the third federal appellate court to address the definition of “whistleblower” under Dodd Frank’s...more

Akin Gump Strauss Hauer & Feld LLP

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

Akin Gump Strauss Hauer & Feld LLP on

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

Stinson - Corporate & Securities Law Blog

SEC Provides Additional Guidance On Form 13F Confidential Treatment Requests

Stinson - Corporate & Securities Law Blog on

The SEC Division of Investment Management has issued additional guidance that is meant to assist institutional investment managers that wish to request confidential treatment, or CT requests, for certain information reported...more

9 Results
 / 
View per page
Page: of 1

"My best business intelligence, in one easy email…"

Your first step to building a free, personalized, morning email brief covering pertinent authors and topics on JD Supra:
Sign up Log in
*By using the service, you signify your acceptance of JD Supra's Privacy Policy.
- hide
- hide