Year: 2016

The Commission’s enforcement division and inspectors at OCIE continue to work closely and have developed a series of cases in recent months. One of the more unusual proceeding spawned through this relationship is the action involving a hedge fund, its …

SEC Charges Adviser With Fraud Tied to “Death Puts” Read More »

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Undermining the protections of Exchange Act Section 21E which protect whistleblowers was the subject of a recent, settled enforcement action. Now the Commission has brought a similar action, again centered on provisions in severance agreements that might impede former employees …

SEC Files Another Action To Protect Whistleblowers Read More »

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