Catherine Botticelli

Catherine Botticelli

Dechert LLP

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The U.S. Supreme Court Extends Sarbanes-Oxley Whistleblower Protections to Employees of Mutual Fund Investment Advisers and Other...

The Supreme Court of the United States on March 4, 2014 held that employees of a privately-held mutual fund investment adviser are protected under a whistleblower provision enacted as part of the Sarbanes-Oxley Act of 2002...more

3/27/2014 - Contractors FMR LLC Lawson v FMR Sarbanes-Oxley SCOTUS Subcontractors Whistleblower Protection Policies Whistleblowers

Financial Services Quarterly Report - Fourth Quarter 2013: Political Intelligence Firms – Insider Trading and Enforcement Shifts...

Insider trading remains a top priority for the Securities and Exchange Commission (SEC) and Department of Justice (DoJ). In fiscal year 2012, the SEC filed 58 enforcement actions against 131 individuals and entities and the...more

12/26/2013 - DOJ Enforcement Enforcement Actions GAO Hedge Funds Insider Trading Investment Companies Material Nonpublic Information Personal Liability Political Intelligence Public Officials SEC STOCK Act Stock Trades

Former Morgan Keegan Directors Settle Valuation Case

The U.S. Securities and Exchange Commission issued a cease and desist order on June 13, 2013 (the “Order”) against former members of the boards of directors (the “RMK Directors” or the “RMK Boards”) of five Regions Morgan...more

7/3/2013 - Board of Directors Business Assets Directors Enforcement Investment Companies Investment Company Act of 1940 SEC Settlement Subprime Mortgages Valuation

SEC Targets Another Fund Board in Recent Enforcement Case

The U.S. Securities and Exchange Commission (“SEC”) recently issued an Order Instituting Proceedings (“Order”) against the administrator and compliance services provider, as well as current and former members of the boards of...more

5/23/2013 - Board of Trustees Compliance Disclosure Requirements Enforcement Penalties Recordkeeping Requirements Reporting Requirements SEC

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