... in an incorrect disclosure.” © Debevoise & Plimpton LLP 2016 Emerald Group Publishing Limited Licensed re-use rights only United States Enforcement actions Securities and Exchange Commission Policies and procedures Financial reporting and disclosure Yates memorandum Set against...

... how the courts interpret the federal securities laws and the degree of deference they give to the Securities and Exchange Commission (SEC) in the context of criminal enforcement. Design/methodology/approach – The article discusses the points raised in the justice's statement and their potential...

...Perrie Michael Weiner; Patrick Hunnius; Grant Alexander Purpose – To discuss the Securities and Exchange Commission’s (SEC’s) likely preparation of new rules to increase the monitoring and oversight of various asset funds, including hedge funds and alternative mutual funds, and recommends...

...Daniel A. Nathan; Tiffany Rowe Purpose – To alert broker-dealers to Securities and Exchange Commission charges brought against a broker-dealer for ineffective controls over employee use of confidential information and to provide guidance regarding development and implementation of controls...

...Bruce Bettigole; Charlie Kruly Purpose – To highlight the insufficient guidance offered by a recent Securities and Exchange Commission settlement regarding a broker-dealer’s obligation to inquire into its customers’ sales of unregistered securities. Design/methodology/approach – Discusses...

...Mark Srere; Mary Beth Buchanan; Elaine Koch; Jennifer Mammen; Tyson A. Johnson Purpose – To highlight the first award granted under the US Securities and Exchange Commission Whistleblower Program to a compliance professional. Design/methodology/approach – Explains the first award issued...

...Randall Fons; Tiffany Rowe Purpose – To summarize and comment on the Securities and Exchange Commission’s (SEC’s) two-day conference, “The SEC Speaks,” held February 21-22, 2014, in which commissioners and senior staff provided thoughts and insights into the most pressing issues currently being...

...John H. Walsh Purpose – To summarize and interpret a Risk Alert titled “Investment Adviser Due Diligence Processes for Selecting Alternative Investments and their Respective Managers,” issued by the USA Securities and Exchange Commission Office of Compliance Inspections and Examinations...

... must receive compensation from a Borrower for providing advice in order to be considered a Municipal Advisor. To understand the Rule and its potential impact, it is helpful to review the key terms, which are highlighted above. USA Securities and Exchange Commission Dodd-Frank Act...

...Henry Kahn; Robert Welp; Richard Parrino Purpose – To review the M&A Brokers “no-action” letter issued in February 2014 by the staff of the USA Securities and Exchange Commission that clarifies the circumstances in which intermediaries (M&A brokers) may receive transaction-based...

...Russell D. Sacks; Thomas Donegan; Charles S. Gittleman Purpose – To explain a No-Action letter recently issued by the USA Securities and Exchange Commission (SEC) permitting persons who qualify as “M&A Brokers” to facilitate the sale of private companies without registering with the SEC...

... calculus for many corporations and individuals who are negotiating with the SEC. United States Securities and exchange commission Admission of wrongdoing Admission of misconduct No admit No deny settlement The Securities and Exchange Commission (SEC) has changed its policy concerning...

...). Jonathan Green can be contacted at: jonathan.green@kayescholer.com © Authors 2014 United States Securities and Exchange Commission Insider trading Confidentiality agreement Material non-public information Misappropriation The Cuban verdict appears, at first glance...

... financial services lawyers. Holly Smith can be contacted at: holly.smith@sutherland.com © Authors 2013 United States of America Securities and Exchange Commission Broker-dealer Paying agent Rule 17Ad-17 Securityholder In the dog days of August, it would be tempting to put...

... in their SEC filings even though another study finds that about 90 percent of companies are breached in a given year). While the Securities and Exchange Commission currently does not require listed companies to report such information [2] , it certainly would prefer that they do so – and before too long may...

...Jennifer Zepralka; Meredith Cross; Thomas White; Knute Salhus; Jonathan Wolfman Purpose – The purpose of this paper is to analyze a recent US Securities and Exchange Commission Report of Investigation that concluded an investigation by the SEC Division of Enforcement into whether Netflix, Inc...

... can be contacted at: elliott.curzon@dechert.com © Authors 2013 United States of America Securities and Exchange Commission Broker-dealer custody Broker-dealer regulation Broker-dealer reporting The Securities and Exchange Commission (“SEC” or “Commission”) recently approved...

...Jackson Galloway; James Catano Purpose – The purpose of this paper is to provide a summary of the terms of a settled Securities and Exchange Commission administrative proceeding that illustrates the views of the SEC examination and enforcement staff regarding appropriate practices for investment...

...) , and Jacobius (2006) . United States of America Department of Justice Private equity Securities and Exchange Commission If you work in the private equity world, you probably know that you are already exposed to a variety of regulatory risks and obligations that can have a significant impact...

... that such investor qualifies as an accredited investor. Advertising United States of America Securities and Exchange Commission Bad actors Private securities offerings Solicitation In order to verify the status of natural person purchasers where one of the four methods described above is not used...