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Keywords: Securities laws
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Journal Articles
Unpacking the SEC’s new disgorgement powers
Available to PurchaseRuss Ryan, Matthew H. Baughman, Carmen J. Lawrence, Aaron W. Lipson, Richard H. Walker, Jessica Rapoport, Katie Barry, Scott Hiers
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2021) 22 (2): 180–188.
Published: 08 April 2021
... Hiers can be contacted at: shiers@kslaw.com © King & Spalding LLP. 2020 King & Spalding LLP. Licensed re-use rights only U.S. Securities and Exchange Commission (SEC) Disgorgement Kokesh v. SEC Liu v. SEC Securities laws National Defense Authorization Act (NDAA...
Journal Articles
What is new after Liu: unsettled questions surrounding SEC disgorgement
Available to PurchaseM. Alexander Koch, Carmen J. Lawrence, Aaron Lipson, Russ Ryan, Richard H. Walker, Jessica Rapoport, Katie Barry
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2020) 21 (2-3): 127–135.
Published: 04 December 2020
.... Licensed re-use rights only U.S. Securities and Exchange Commission (SEC) Disgorgement Liu v. SEC Kokesh v. SEC Securities laws Equitable relief On June 22, 2020, in Liu v. SEC, the Supreme Court held in an 8–1 decision that the SEC is authorized under 15 U.S.C. § 78 u(d)(5) (2015...
Journal Articles
Strategies for addressing investor liquidity concerns and funding capital needs in real estate funds
Available to Purchase
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2020) 21 (4): 193–202.
Published: 04 December 2020
... with applicable securities laws. The article also finds that specific affirmative actions by fund sponsors, such as increased borrowings under credit facilities, making distributions that are recallable and favoring transfers over withdrawals or redemptions may assist fund sponsors in preserving capital while...
