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Securities and Exchange Commission (SEC) › Insider Trading › Due Diligence

Lowenstein Sandler LLP

Key Considerations for Alternative Data and AI Vendors to Investment Firms: Demonstrating Compliance in the Face of an Evolving...

Lowenstein Sandler LLP on

The Securities and Exchange Commission (SEC) has previously provided guidance through risk alerts, proposed rules, and enforcement actions that outline expectations for registered investment advisers and other financial firms...more

Proskauer - Corporate Defense and Disputes

SEC Enforcement Director and SDNY/EDNY Officials Address Enforcement Priorities

Proskauer - Corporate Defense and Disputes on

SEC Division of Enforcement Director Gurbir Grewal and several high-ranking officials from the U.S. Attorney’s Offices for the Southern and Eastern Districts of New York and the FBI spoke on November 29, 2022 at a conference...more

Pillsbury Winthrop Shaw Pittman LLP

The Beginning of the SPAC Enforcement Wave: SEC Makes Example of SPAC for Spacing out on Diligence

Pillsbury Winthrop Shaw Pittman LLP on

Chair Gensler’s enforcement agenda begins to take shape as SEC brings sprawling enforcement action against wide range of SPAC participants. Consistent with prior SEC warnings regarding incentives for Special Purpose...more

Allen Matkins

Insider Trading Is Like A Dog Named “Stay”

Allen Matkins on

Insider trading cases remind me of the following joke attributed to stand-up comic Steven Wright...more

Dorsey & Whitney LLP

This Week In Securities Litigation (Week ending November 6, 2015)

Dorsey & Whitney LLP on

Conflicts and investment fund fraud cases were the focus this week. The SEC brought two actions in each category. In addition, a settled insider trading action was filed....more

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