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Securities Exchange Act of 1934 Enforcement Insider Trading

Proskauer - Regulatory & Compliance

Proskauer Hedge Fund Trading Guide 2024 – Chapter 3: Special Issues under Sections 13(d) and 16 for Hedge Funds

Proskauer’s Practical Guide to the Regulation of Hedge Fund Trading Activities offers a concise, easy-to-read overview of the trading issues and questions we commonly encounter when advising hedge funds and their managers. It...more

Snell & Wilmer

SEC v. Panuwat: The SEC’s “Shadow Trading” Paradigm

Snell & Wilmer on

On April 5, 2024, the Securities and Exchange Commission (“SEC”) obtained its first favorable insider trading verdict based on “shadow trading.” The SEC filed suit against Matthew Panuwat, claiming that he accessed highly...more

Winstead PC

SEC and DOJ Go On An Insider-Trading Enforcement Spree

Winstead PC on

Last week, the U.S. Securities and Exchange Commission brought five insider-trading cases against a slew of individuals. The U.S. Attorney’s Office for the Southern District of New York also announced parallel criminal...more

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