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Policies and Procedures › Securities Regulation › Securities Litigation

A&O Shearman

SEC Files Complaint Alleging Hedge Fund Manager Failed To Maintain And Enforce Adequate MNPI Policies And Procedures To Separate...

A&O Shearman on

On December 12, 2024, the Securities and Exchange Commission (“SEC”) filed a litigated complaint (the “Complaint”) in United States District Court for the District of Connecticut against a hedge fund manager (the “Firm”)...more

Bass, Berry & Sims PLC

SEC Settlement against Auditing Firm Serves as Reminder of Important Independence Rules

Bass, Berry & Sims PLC on

On February 29, the Securities and Exchange Commission (the SEC) announced that it settled an administrative proceeding against Lordstown Motors Corps’ former auditor, Clark Schaefer Hackett and Co. (CSH)—the same day that...more

Burr & Forman

SEC Proposes Cybersecurity Rule for Advisers, Investment Companies

Burr & Forman on

On February 9, the SEC proposed new cybersecurity risk management regulations for investment advisers, registered investment companies (funds), and business development companies....more

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