Ivan Knauer

Ivan Knauer

Pepper Hamilton LLP

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Underwriters, Universities and Government Debt Issuers Face a Critical Deadline [Video]

Join Pepper Hamilton in a special webinar examining the latest developments in the U.S. Securities and Exchange Commission’s Municipalities Continuing Disclosure Cooperation Initiative (MCDC Initiative), including what...more

6/23/2014 - Deadlines Debt Debtors Disclosure Requirements MCDC SEC

Private Equity And The SEC: A Brave New World Of Scrutiny And Compliance

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

5/22/2014 - Compliance Enforcement Actions Hedge Funds Investigations OCIE Private Equity SEC

Securities And Exchange Commission Creates New Private Fund Unit Dedicated To Examination Of Private Equity And Hedge Funds

On April 7, 2014, it was announced that the United States Securities and Exchange Commission (SEC) has created a new private fund unit dedicated to the examination of private equity and hedge funds....more

4/10/2014 - Enforcement Hedge Funds Private Equity Private Funds SEC

FINRA’s 2014 Regulatory And Examination Priorities Address Existing And Emerging Investor Protection And Market Integrity Issues

On January 2, the Financial Industry Regulatory Authority (FINRA) published its annual regulatory and examination priorities letter. The letter identifies and sets forth how FINRA intends to address significant risks and...more

1/7/2014 - Algorithmic Trading Broker-Dealer Cybersecurity Financial Reporting FINRA Investors Securities Fraud

Public Officials, Financial Disclosure And A New Era Of Liability

The Securities and Exchange Commission is making it clear: Government leaders who issue misleading financial information are putting themselves at risk. Several recent actions by the Securities and Exchange Commission...more

12/20/2013 - Disclosure Requirements Governmental Liability Investors Misleading Statements Municipal Bonds Municipalities Pensions Personal Liability Public Officials SEC Securities Fraud State and Local Government

SEC Hits The ‘Reset Button’ On Failure To Supervise Liability For Legal And Compliance Personnel

On September 30, 2013, the U.S. Securities and Exchange Commission (SEC) – quietly, and with little fanfare – released an informal statement of policy in the form of frequently asked questions (FAQ), in which it addressed its...more

10/21/2013 - CEOs Chief Compliance Officers Compliance Corporate Counsel Liability Professional Liability SEC Supervisors

SEC Settles With The City Of Harrisburg: Case Presents A Teaching Moment For Other Municipalities

On May 7, 2013 the Securities and Exchange Commission (SEC) and the City of Harrisburg, Pennsylvania concluded a years-long SEC investigation in a first-of-its kind settlement....more

5/30/2013 - Compliance Disclosure Requirements Financial Reporting Fraud Misleading Statements Municipalities Negligence SEC Settlement

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