Nicolas Morgan

Nicolas Morgan

DLA Piper

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The SEC – now killing many birds with one "big data" stone: 5 takeaways

The SEC this week announced a mass action against 34 defendants for alleged violations of federal securities laws regarding reporting of stock holdings. As the Wall Street Journal reported, the action “is part of the ‘broken...more

9/15/2014 - Big Data Compliance Enforcement Enforcement Actions Reporting Requirements SEC

SEC continues to focus on “fair value” practices of investment advisers

The media has been shining a strong spotlight on SEC insider trading cases, but in recent years, with much less fanfare, the SEC has brought nearly three times as many cases against investment advisers. ...more

6/21/2013 - Asset Valuations Board of Directors Compliance Insider Trading Investment Adviser SEC

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