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Andrew L. Oringer

Andrew L. Oringer

Dechert LLP


Latest Publications

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DOJ and SEC Scrutinize Potential Misuse of Rule 10b5-1 Trading Plans by Corporate Directors Affiliated with Investment Advisers

Over the past four years, the U.S. Department of Justice (“DOJ”) and U.S. Securities and Exchange Commission (“SEC”) have focused on insider trading involving private funds as one of their key targets in the fight against...more

5/10/2013 - DOJ Insider Trading Investigations Private Funds Rule 10b-5 SEC White Collar Crimes

401(k) Plans—Potential Commodity Pool Issues in the United States

Under the rules of the Commodity Futures Trading Commission (“CFTC”), certain collective investment vehicles and other entities that, directly or indirectly, invest in “commodity interests” may be “commodity pools” whose...more

2/28/2013 - 401k CFTC Commodity Pool CPO NFA Participant-Directed Plans Retirement Plan

Swapping Uncertainty for Clarity – U.S. Department of Labor Issues ERISA Opinion on Swaps

Much of the investment capital in the U.S. market is in retirement plans subject to the Employee Retirement Income Security Act of 1974 (“ERISA”). Over the years, an important element of a number of plans’ investment...more

2/15/2013 - Derivatives Dodd-Frank DOL ERISA Fiduciary Duty INHAM QPAM Swaps

Department of Labor Clarifies Interpretation of “Related” Under the QPAM Exemption

The U.S. Department of Labor (the “DOL”) recently issued an information letter, dated November 9, 2012 (the “Information Letter”), in which it confirms that, for all purposes of determining what parties are “related” to a...more

11/30/2012 - Asset Management DOL ERISA

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