Marc Powers

Marc Powers

BakerHostetler

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2015 Year-End Securities Litigation and Enforcement Highlights

Welcome to the 2015 Year-End Report from the BakerHostetler Securities Litigation and Regulatory Enforcement Practice Team. The purpose is to provide a periodic survey, apart from our team Executive Alerts, on matters we...more

2/25/2016 - Corporate Counsel Dodd-Frank FCPA Halliburton v Erica P. John Fund Hedge Funds Insider Trading Libor RMBS SCOTUS SEC US v Newman US v Salman Whistleblowers

SEC Announces 2016 Examination Priorities

Earlier this week, the Office of Compliance Inspections and Examinations (OCIE) of the United States Securities and Exchange Commission (SEC) announced its 2016 examination priorities. These priorities are of particular...more

1/13/2016 - Broker-Dealer ETFs Hedge Funds Investment Management OCIE SEC Examination Priorities Variable Annuities

Hedge Funds: A Look Toward 2016

BakerHostetler’s final hedge fund program of 2015 provided practical advice to hedge funds and investment advisers for the coming year. The presentations focused on “Hedge Fund Hot Topics for 2016,” “How to Effectively Manage...more

1/11/2016 - Anti-Money Laundering Cooperative Compliance Regime Fiduciary Duty FinCEN Hedge Funds Investment Adviser OCIE OFAC SEC Examination Priorities Suspicious Activity Reports

2014 Year-End Securities Litigation Enforcement Highlights

In This Issue: - I. Supreme Court Cases Review - II. Securities Law Cases - III. Insider Trading Cases - IV. Settlements - V. Investment Adviser and Hedge Fund Cases - VI. CFTC Cases and...more

2/10/2015 - CFTC Compliance Enforcement Enforcement Actions Financial Institutions Hedge Funds Insider Trading Investment Adviser SCOTUS SEC Tolling

2014 Top 10 SEC Enforcement Highlights

Mary Jo White was confirmed in April 2013 as Chair of the Securities and Exchange Commission (the “SEC”), becoming the first former United States Attorney to serve in that role. Given her background, and despite criticism...more

1/19/2015 - Auditors Bitcoin Custody Rule Deloitte Dodd-Frank DOJ Enforcement Actions Ernst & Young Facebook Hedge Funds High Frequency Trading Independence Rules Insider Trading Mary Jo White Regulation S-X SEC Social Media Social Networks Twitter US v Newman Whistleblower Awards Whistleblowers YouTube

The Boundaries for Insider Trading Prosecutions See a Resurgence: The 1980s Are Back!

In a closely followed appeal, the United States Court of Appeals for the Second Circuit on December 10, 2014, delivered an important decision in United States v. Newman by vacating the insider trading convictions of two...more

12/18/2014 - Hedge Funds Illegal Tipping Insider Trading Material Nonpublic Information Personal Benefit Portfolio Managers Rule 10b-5 Securities Securities Fraud US v Newman

Is Your Hedge Fund a Trader or Investor?

Hedge fund managers should be aware of two recent U.S. Tax Court memorandum decisions that shed further light on when a taxpayer, such as a hedge fund, is considered to be a "trader" or "investor" for tax purposes -- a...more

11/20/2013 - Hedge Funds Investors IRS Tax Deductions

The Falcone Settlement: A Harbinger of Things to Come?

On August 19, 2013, the Securities and Exchange Commission (SEC) announced that New York-based hedge fund adviser Philip A. Falcone and his advisory firm Harbinger Capital Partners -- which once boasted $26 billion under...more

9/3/2013 - DOJ Fraud Hedge Funds SEC Settlement

2013 Mid-Year Securities Litigation and Enforcement Highlights

Table of Contents - I. Supreme Court Case Review (October 2012 Term) II. Rule 10b-5 Cases III. Investment Adviser and Hedge Fund Cases IV. Settlements V. Commodities and Futures Litigation and...more

7/31/2013 - Amgen Inc. v Connecticut Retirement Plans Comcast Commodities Enforcement Actions Gabelli v SEC Hedge Funds Investment Adviser Rule 10b-5 SCOTUS SEC Securities Litigation

Third Circuit Holds Rule 10b-5 Violations May Be Imputed to Investment Management Company on Basis of Apparent Agency

The United States Court of Appeals for the Third Circuit recently issued a decision that highlights the importance of investment management companies using extreme caution when promoting investment products to their clients,...more

3/19/2013 - FINRA Fraud Hedge Funds Investment Management Marketing Ponzi Scheme Securities Exchange Act Vicarious Liability

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