Enforcement

'It’s not the end of the administrative state, it’s not the end of the SEC,' Patterson Belknap's Greg Baker warns

The team will include 100 members from other federal, state and local law enforcement agencies.

'We’re seeing more than just skepticism at both levels, it’s a general distaste for what is villainized—and sometimes mislabeled—as the private equity business model,' Holland ...

This document discloses the division's policies around requesting information, whether voluntarily or via a subpoena

'It's a novel insider trading theory,' enforcement chief tells Managed Funds Association conference

'Now we need to train our people to be think more broadly about' about insider trading, Seward & Kissel's Moustakis says

The Biden administration wants to rework American society, and sees fund managers as a problem to be solved.

Private funds' thinking has evolved from "risk management" to "value creation," PwC's Eric Janson says on RCW webinar

Cases 'should serve notice to the investment industry,' Enforcement Division Director Grewal says in video.

Violators included “supervisors and senior-level employees”—including some attached to compliance—who used platforms, such as WhatsApp and text messaging, contrary to firm P&Ps