Nicolas Morgan

Nicolas Morgan

DLA Piper

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SEC enforcement cases to increase in 2014: 4 things public companies need to know

A casual observer of SEC trends could be forgiven for concluding that the SEC has lost interest in pursuing enforcement actions involving public company financial reporting violations. But the casual observer would be...more

1/14/2014 - Dodd-Frank Enforcement Enforcement Actions Reporting Requirements SEC Whistleblower Protection Policies Whistleblowers

Courts confirm: Dodd-Frank whistleblowers must report to the SEC, Dodd-Frank whistleblower protections do not extend to conduct...

A recent decision by the Fifth Circuit Court of Appeals has confirmed that the anti-retaliation provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act only confer protections to whistleblowers who report...more

11/21/2013 - Anti-Retaliation Provisions Dodd-Frank Extraterritoriality Rules SEC Whistleblower Protection Policies Whistleblowers

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

More coming soon? Latest SEC tipster award highlights risk for hedge funds, private equity firms

The SEC has issued its second-ever whistleblower award. The award went to three anonymous individuals, each of whom will receive 5 percent of the monetary sanctions ultimately collected in a case against hedge fund manager...more

6/18/2013 - Anti-Retaliation Provisions Disgorgement Dodd-Frank Fraud Hedge Funds Investors Sanctions SEC Whistleblower Awards Whistleblowers

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