A Look at Non-Cannabis Derived CBD Products
Hedge Fund Guy and the Terrible, Horrible, No Good Very Bad Statue
THE WAY WE WERE
Investment Management Roundtable Discussion – Data Privacy and Security
Investment Management Roundtable Discussion – Personal Estate Planning
JONES DAY TALKS®: ESG: The Opportunities and the Risks
Podcast: Private Fund Regulatory Update: Post-U.S. Government Shutdown
Investment Management Update – Exit Strategies
Podcast: Keeping Up with Recent Changes and Trends in Private Fund Regulation
Podcast: Credit Funds: What Managers Need to Know and Practical Tips to Avoid Insider Trading Risks
Podcast - Credit Funds: A Framework for Addressing and Mitigating Conflicts of Interest
Preparing a Company to Deal With Activist Investors
Polsinelli Podcasts - Hedge Funds Now Using IPR Challenges
FCPA Compliance and Ethics Report-Episode 122-with Matt Kelly on Alstom, Avon and Petrobras
Insider Trading News - Ralph Siciliano discusses US v. Newman
WORD OF THE DAY® for Hedge Funds – Accelerated Share Repurchase
WORD OF THE DAY® for Hedge Funds – Derivative
WORD OF THE DAY® for Hedge Funds – Big Boy Letter
WORD OF THE DAY® for Hedge Funds – 10b5-1 Plan
There has been a lot of conjecture that the SEC may become friendlier to registrants because of the new administration. Given the SEC’s mandate to protect the investing public, however, we do not expect SEC examiners to...more
The new year always marks the start of a busy regulatory filing season for registered investment advisers, including investment advisers that file Form PF (“Form PF Filers”). This year could be especially challenging since,...more
To understand the litigation and regulatory risks that are coming in 2024 for private capital, it is helpful to look back briefly on recent events. Arguably, the single most important event over the last 18 months was the...more
The settlements announced by the SEC and CFTC on Monday are a continuation of the regulators’ focus on off-channel communications by employees of registered entities....more
The SEC has, for many years, used broker-dealer and associated persons’ failure to create and maintain books and records as a basis for the imposition of serious penalties. In recent actions, it appears to be continuing—and...more
For much of 2021, the SEC has been in transition. New Enforcement staff have been settling into their roles since April of 2021, when Gary Gensler was confirmed and sworn in as Chair of the SEC. Under former Chairman Jay...more
Here in is a summary of recent investment management developments that affect registered investment companies, private equity funds, hedge funds, investment advisers, and others in the investment management industry....more
On January 17, 2017, the SEC announced nine settled enforcement actions for violations of the pay-to-pay rule against private equity, venture capital and hedge fund sponsors. The firms involved agreed to pay monetary...more
The Justice Department and the Securities Exchange Commission delivered a powerful FCPA enforcement message to private equity and hedge funds. Och-Ziff settled with the DOJ and SEC for total penalties of $412 million....more
The SEC brought a record number of enforcement actions against investment advisers in 2015, resulting in approximately $4.2 billion in sanctions.1 This alert highlights current issues for private equity, venture capital and...more
In early April 2014, the Securities and Exchange Commission (SEC) announced the formation of a new unit within its Office of Compliance Inspections and Examinations (OCIE) that will be dedicated to the examination of private...more
Several years ago, the SEC sent shockwaves through the private equity and hedge fund industries. The SEC launched an industry investigation focused on the legal principle that foreign sovereign wealth funds were a part of...more