The US District Court for the Eastern District of New York recently ruled that Securities and Exchange Commission enforcement actions cannot be dismissed on grounds that the SEC failed to comply with Section 929U of the...more
- Discovery Dodd-Frank SEC
Bruce Karpati, Chief of the Securities Exchange Commission Enforcement Division’s Asset Management Unit (AMU), spoke before the Regulatory Compliance Association earlier this week to address the AMU’s current enforcement...more
- Asset Management Hedge Funds SEC
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