John Sikora Jr.

John Sikora Jr.

Latham & Watkins LLP

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SEC Charges Adviser for Failing to Monitor Consultants

The action underscores the need for investment advisers and broker-dealers to maintain robust policies and controls when utilizing third-party contractors. On May 27, 2016, the Securities and Exchange Commission (SEC)...more

7/6/2016 - Broker-Dealer Consultants Enforcement Actions Insider Trading Investment Adviser Material Nonpublic Information SEC Third-Party

SEC Fines Private Equity Adviser for Failing to Register as a Broker-Dealer

The action may have significant implications for PE advisers performing brokerage services; highlights SEC’s focus on advisers receiving transaction-based compensation. On June 1, 2016, the Securities and Exchange...more

6/29/2016 - Broker-Dealer Investment Advisers Act of 1940 Management Fees Neither Admit Nor Deny Settlements Offsets Portfolio Companies Private Equity Private Funds Registration Requirement SEC Securities Exchange Act Transaction-Based Compensation

SEC Announces Customer Protection Rule Initiative

Broker-dealers with historical or ongoing instances of non-compliance with the SEC’s Customer Protection Rule are encouraged to self-report by November 1, 2016. On June 23, 2016, the Securities and Exchange...more

6/29/2016 - Broker-Dealer Compliance Cooperation Customer Protection Rule FINRA Individual Accountability OCIE SEC Section 15(c) Securities Exchange Act Self-Reporting

The Circuits Are Split: Are Tangible Benefits Required for Insider Trading Liability?

The Ninth Circuit’s recent decision calls into question the Second Circuit’s definition of “personal benefit” for insider trading liability in criminal prosecutions. On July 6, 2015, United States District Court Judge...more

7/13/2015 - Broker-Dealer Enforcement Actions Hedge Funds Illegal Tipping Insider Trading Judge Rakoff Material Nonpublic Information Personal Benefit Popular SEC US v Newman

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

4/13/2015 - Asset Management Conflicts of Interest Hedge Funds Investment Management OCIE SEC

Private Equity Fund Managers: Takeaways From The SEC’s Past Year in Enforcement

After a year of “first ever” actions targeting private equity, fund managers should be vigilant, even about seemingly small issues. In reviewing the results of SEC Enforcement’s fiscal year that ended on September 30,...more

12/9/2014 - Broken Windows Enforcement Actions Fund Managers Private Equity Funds SEC Strategic Enforcement Plan

SEC Increases Focus on Accounting and Financial Fraud at Public Companies

“I would describe the time period we are living through as an era of creative and aggressive enforcement by the US Securities and Exchange Commission (SEC),” said Latham & Watkins partner John Sikora. “The SEC has set a...more

9/12/2014 - Accounting Fraud Enforcement Enforcement Actions Fraud SEC Securities Fraud

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

6/20/2014 - Anti-Retaliation Provisions Enforcement Actions Popular Retaliation SEC Whistleblowers

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