Marc Powers

Marc Powers

BakerHostetler

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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

SEC Provides Guidance on Important Considerations for Effective and Reasonable Prevention of Cyber Attacks

As many of you know, last April the SEC issued the Cybersecurity Examination Initiative to assess the cybersecurity practices and preparedness of registered broker-dealers and investment advisers. The initiative arose from an...more

2/10/2015 - Banking Sector Broker-Dealer Brokers Cybersecurity Data Protection Investment Adviser Popular SEC

Best Practices for Investment Advisers on Trade Execution: An Analysis of Two Recent SEC Settlements

On July 31, 2013, the U.S. Securities and Exchange Commission (SEC) announced that two investment advisers allegedly failed to seek best execution on client trades placed with their in-house brokerage divisions and misled...more

8/7/2013 - Consent Order Fraud Investment Adviser Misleading Statements 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

SEC Releases National Examination Program Priorities for 2013

On February 21, 2013, the National Examination Program (NEP), which is administered by the Securities and Exchange Commission's (SEC) Office of Compliance Inspections and Examinations (OCIE), published its examination...more

4/2/2013 - Broker-Dealer Clearing Agents Investment Adviser NEP SEC Transfer Agents

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