On October 25, 2017, the Hedge Fund Industry Practice Team hosted an event at the New York Yacht Club titled "Chair Clayton's Impact at the SEC." Hedge fund professionals, including general counsels, hedge fund principals and...more
Welcome to the 2017 Mid-Year Report from the BakerHostetler Securities Litigation and Regulatory Enforcement Practice Team.
The purpose of this report is to provide a periodic survey – in addition to our Practice Team...more
7/31/2017
/ Broker-Dealer ,
CFTC ,
Commodities ,
Dodd-Frank ,
Enforcement Actions ,
Financial Industry Regulatory Authority (FINRA) ,
Hedge Funds ,
Insider Trading ,
Internal Reporting ,
Investment Adviser ,
Kokesh v SEC ,
SCOTUS ,
Securities and Exchange Commission (SEC) ,
Securities Litigation ,
SLUSA ,
Whistleblower Protection Policies ,
Whistleblowers
Welcome to the 2016 Year-End Report from the BakerHostetler Securities Litigation and Regulatory Enforcement Practice Team.
The purpose of this Report is to provide a periodic survey, apart from our team Executive...more
2/1/2017
/ Broker-Dealer ,
CFTC ,
Commodities ,
Conflicts of Interest ,
Dodd-Frank ,
Employee Retirement Income Security Act (ERISA) ,
Enforcement Actions ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Institutions ,
Financial Markets ,
Foreign Corrupt Practices Act (FCPA) ,
Futures ,
Hedge Funds ,
Insider Trading ,
Investment Adviser ,
Popular ,
Securities and Exchange Commission (SEC) ,
Securities Litigation ,
SLUSA ,
Whistleblower Awards ,
Whistleblower Protection Policies ,
Whistleblowers
This is the third year we are providing our annual Top Ten list of Enforcement Highlights. This time, it occurs towards the end of the tenure of SEC Chair Mary Jo White. Sullivan & Cromwell corporate securities and capital...more
There is a noticeable trend in the fund services industry that is creating increased exposure and legal liability for fund administrators. More and more, fund administrators are now being looked to as gatekeepers in order to...more
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
Welcome to the 2015 Mid-Year 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
8/5/2015
/ 401k ,
Administrative Procedure Act ,
Bank of New York (BNY) Mellon ,
Broker-Dealer ,
CFTC ,
Commodities ,
Commodity Exchange Act (CEA) ,
Conflicts of Interest ,
Cybersecurity ,
Department of Justice (DOJ) ,
Dodd-Frank ,
Duty to Monitor ,
Employee Retirement Income Security Act (ERISA) ,
Enforcement Actions ,
False Statements ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Institutions ,
Financial Markets ,
Form 10-Q ,
Futures ,
Hedge Funds ,
Insider Trading ,
Interest Rates ,
Investment Adviser ,
KBR (formerly Kellogg Brown & Root) ,
Libor ,
Loss Causation ,
Merrill Lynch ,
Omnicare v Laborers District Council ,
OMWI ,
Pensions ,
Perez v Mortage Bankers Assoc ,
Popular ,
Registration Statement ,
Regulation SHO ,
RICO ,
RMBS ,
Scienter ,
SCOTUS ,
Securities Act of 1933 ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Securities Litigation ,
SLUSA ,
Stocks ,
Tibble v Edison Int ,
Tippees ,
UK ,
US v Newman ,
Whistleblowers
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 ,
Securities and Exchange Commission (SEC) ,
Tolling
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
Welcome to the 2014 Mid-Year Report from the BakerHostetler Securities Litigation and Regulatory Enforcement Practice Team. Its purpose is to provide a periodic survey, apart from our team Executive Alerts, on matters we...more
7/31/2014
/ Banking Sector ,
Banks ,
CFTC ,
Commodities ,
Deferred Prosecution Agreements ,
Employee Retirement Income Security Act (ERISA) ,
Enforcement ,
Enforcement Actions ,
FIfth Third Bancorp v Dudenhoeffer ,
Financial Institutions ,
Futures ,
Halliburton v Erica P. John Fund ,
Hedge Funds ,
Insider Trading ,
Investment Adviser ,
Investment Funds ,
Municipal Securities Issuers ,
Publicly-Traded Companies ,
Risk Alert ,
SCOTUS ,
Securities ,
Securities and Exchange Commission (SEC) ,
Settlement ,
Stock Drop Litigation ,
Whistleblower Awards
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
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 ,
Securities and Exchange Commission (SEC) ,
Securities Litigation
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