News & Analysis as of

Enforcement Hedge Funds Commodities Futures Trading Commission

Morrison & Foerster LLP

Significant Investment Adviser Regulatory Developments in 2024

Alongside the rapid pace of Securities and Exchange Commission (SEC) rulemaking, the SEC and its Staff continue to shape regulatory obligations for investment advisers in 2024 through guidance, alerts, enforcement actions,...more

BakerHostetler

2014 Year-End Securities Litigation Enforcement Highlights

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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

Proskauer Rose LLP

2014 Proskauer Hedge Funds and Other Private Funds Annual Review

Proskauer Rose LLP on

This year we saw a flurry of regulatory activity targeting investment advisers and hedge funds, private equity funds and other private funds (collectively, private funds). The following annual review is a summary of some of...more

BakerHostetler

2014 Mid-Year Report Securities Litigation and Regulatory Enforcement

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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

Katten Muchin Rosenman LLP

CFTC Releases Rule Enforcement Review of ICE Futures U.S.

On July 22, the Commodity Futures Trading Commission released the Division of Market Oversight’s rule enforcement review of ICE Futures U.S. The rule enforcement review included the following recommendations...more

Dorsey & Whitney LLP

This Week In Securities Litigation (Week ending February 7, 2014)

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Matthew Martoma was convicted of insider trading by a Manhattan jury. That jury found him guilty of one count of conspiracy and two counts of securities fraud. The convictions continues the unbroken string of victories in...more

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