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Multitudes, Multitudes: The SEC’s Asset Management Unit Delivers Important Messages for Investment Advisers

The SEC signals continued scrutiny of asset management firms for all manner of violations — including technical violations first identified in exams. On February 26, Julie Riewe, the Co-Chief of the SEC’s Asset...more

SEC Sends Message Via Enforcement Action: Don’t Stifle Employee Whistleblowing

US public companies and SEC regulated entities should re-examine their forms and policies. On April 1, 2015, the US Securities and Exchange Commission filed its first whistleblower protection case involving...more

Supreme Court’s Halliburton Decision Opens New Line of Defense

In Halliburton Co. v. Erica P. John Fund, Inc., a rebuttable presumption must yield to the evidence at class certification. On June 23, 2014, the United States Supreme Court sustained the “fraud-on-the-market”...more

Investment Adviser Charged For Demoting Whistleblower in SEC’s First Anti-Retaliation Case

Investment adviser and its owner settle SEC enforcement action for nearly US$2.2 million. On June 16, 2014, the US Securities and Exchange Commission issued a cease and desist order and assessed a US$300,000 civil...more

Will Award-Seeking Whistleblower Lawyers Be Caught Between Conflicting SEC and State Ethics Rules?

Lawyers blowing the whistle on issuer clients might be “rewarded” with state bar investigations for possible breaches of their duty of confidentiality. Introduction - Every issuer of securities is a repository...more

SEC Issues First Large Award in Whistleblower Program

$14 million awarded to unidentified whistleblower in unidentified enforcement action. On October 1, 2013, the US Securities and Exchange Commission announced that it expects to pay more than $14 million to a...more

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