Ying Li

Ying Li

Proskauer Rose LLP

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SEC Issues Guidance on Personal Securities Transactions Reporting

On June 26, 2015, the Securities and Exchange Commission (SEC) issued a guidance update on Rule 204A-1 of the Investment Advisers Act of 1940 (Advisers Act). Rule 204A-1 requires, among other things, certain advisory...more

7/3/2015 - Board of Directors Ethics Guidance Update Investment Adviser Investment Advisers Act of 1940 Reporting Requirements SEC Trustees

Recommended Actions for Hedge Fund, Private Equity Fund and Other Private Fund Advisers To Prevent Possible Whistleblower...

On April 1, 2015, the Securities and Exchange Commission (SEC) announced that it had settled its first enforcement action under SEC Rule 21F-17, which prohibits companies from taking actions or using confidentiality...more

6/9/2015 - Compliance Confidentiality Agreements Enforcement Actions Non-Disclosure Agreement SEC Whistleblowers

SEC Proposes Amendments to Form ADV and Performance Information Recordkeeping Requirements

On May 20, 2015, the Securities and Exchange Commission (SEC) released proposed amendments to Form ADV and Rule 204-2 under the Investment Advisers Act of 1940 (Advisers Act). The proposed amendments, if adopted, would...more

5/28/2015 - Form ADV Investment Adviser Recordkeeping Requirements Rule 204-2 SEC Umbrella Registration

International workplace dispute practices: key concepts for today’s global employers

Increasingly, companies with operations or employees in more than one country are exposed to the risk of court proceedings in a foreign jurisdiction and the unfamiliar practices and procedures arising out of overseas...more

12/5/2012 - International Labor Laws

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