News & Analysis as of

Asset Management Fraud

American Conference Institute (ACI)

[Event] 17th Edition Fraud, Asset Tracing & Recovery Geneva - March 16th - 17th, Genève, Switzerland

Hosted by C5, the 17th Edition Fraud, Asset Tracing & Recovery Geneva returns for another exciting year with curated programming that will address historic government enforcement announcements, new strategies to tackle the...more

Ary Rosenbaum - The Rosenbaum Law Firm P.C.

Never let anyone assume you’re embezzling

I know two retirement plan providers in Federal prison for embezzling retirement plan assets. They did the crime, they are doing the time. However, there are times when people haven’t embezzled, but they have done enough...more

Proskauer - The Capital Commitment

Portfolio Company Risk: Plaintiffs Set Sights on Sponsors and Board Directors

As our other Top Ten posts have demonstrated, there is no shortage of risks for private fund sponsors to navigate in today’s economic and regulatory environment. Nevertheless, they need to prioritize the risk that hits...more

American Conference Institute (ACI)

[Event] 10th Edition of Fraud, Asset Tracing & Recovery - January 24th - 25th, Miami, FL

ACI’s and C5’s 10th Edition of Fraud, Asset Tracing & Recovery Miami conference is returning on January 24 – 25, 2022 in person! Deemed as the foremost, can’t-miss event for the Fraud community, it gathers the pre-eminent...more

Burns & Levinson LLP

Beware of These Common Estate Planning Scams

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Estate planning offers are everywhere – on television, on the internet, through phone solicitations, and even through in-person presentations (albeit less so with the COVID-19 pandemic). So how do you ensure that your...more

American Conference Institute (ACI)

[Virtual Event] Fraud, Asset Tracing and Recovery - Geneva - March 23rd - 25th, 12:15 pm - 5:15 pm CET

The 15th Fraud, Asset Tracing & Recovery Conference – Geneva has been reimagined for 2021 and will take place in a virtual format!... The programme will stay true to its raison d’être-continuing to stand apart as the...more

American Conference Institute (ACI)

[Webinar] Virtual Fraud, Asset Tracing & Recovery Miami - October 28th - 30th, 8:30 am - 1:30 pm EDT

C5’s and ACI’s Virtual Fraud, Asset Tracing & Recovery Miami is the quintessential gathering for practitioners located offshore and across the globe. Unlike other events, this programme is your best opportunity to enhance...more

American Conference Institute (ACI)

[Webinar] Fraud and Asset Tracing War Stories - August 11th, 10:00 am - 11:00 am EDT

We invite you to join leading fraud, asset tracing and recovery experts at ACI’s Virtual “War Story” Boardroom - a complimentary, 1-hour webinar for a candid discussion of recent war stories. Don’t miss a worthwhile...more

Dechert LLP

Asset Management Litigation/Enforcement Flash Report

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Especially in today’s economic and work environment, we find it helpful – and we therefore thought our clients would also find it helpful – to keep track of the important litigation and regulatory enforcement developments...more

Dechert LLP

European Anti-Fraud Office (“OLAF”) remains active during COVID-19 crisis and targets increase in investigation and prosecution of...

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The Director-General of OLAF, Ville Itälä, has indicated in a recent interview that OLAF is seeking to coordinate more with authorities in EU Member States to increase the number of prosecutions brought for EU budget fraud....more

Bass, Berry & Sims PLC

Chris Lazarini Analyzes Definition of “Transfer” under Bankruptcy Code

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Bass, Berry & Sims attorney Chris Lazarini analyzed a case questioning the definition of a “transfer” under §544 and 550 of the Bankruptcy Code and whether the transfer was voidable when made by an unsecured creditor. The...more

Robinson & Cole LLP

Data Privacy + Cybersecurity Insider - March 2018 #5

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Power Company Fined for Contractor Copying Data to its Own Insecure Network - Vendor management continues to be a problem for all industries, but some are scarier than others. The North American Electric Reliability Corp....more

Morgan Lewis

SEC Speaks 2017

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Commission staff highlight key developments and successes in the SEC enforcement program. As they do every year, senior officials from the US Securities and Exchange Commission (SEC or the Commission), including current...more

Dechert LLP

Investment Funds Update - Europe: Legal and regulatory updates for the funds industry from the key asset management centres and...

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UCITS Rulebook - The Central Bank of Ireland announced the issuance of the new UCITS Rulebook on Monday October 5th. It, and the guidance relating to it, are effective 1 November....more

Dechert LLP

SEC Issues Settled Enforcement Action Against Investment Adviser, its President and Senior Officers for Compliance Program...

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The U.S. Securities and Exchange Commission (SEC or Commission) issued a cease and desist order (Order) on June 23, 2015, against Pekin Singer Strauss Asset Management Inc. (Adviser), an investment adviser registered under...more

Morrison & Foerster LLP

Inside Baseball – SEC Enforcement Co-Chief Calls ‘Em Like He Sees ‘Em

Led by a new team of co-directors, the Enforcement Division of the Securities and Exchange Commission (SEC) is poised to create new initiatives dedicated to efficiency, greater staff discretion and specialized areas of focus....more

Morrison & Foerster LLP

The SEC Speaks: Reflections and Enforcement Initiatives in 2013

Each year at The SEC Speaks, the Commissioners and senior leadership of the Securities and Exchange Commission identify the agency’s priorities and initiatives for the coming year. Of course, one of the most anticipated...more

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