Month: May 2018

Speeches were key this week. Steven Pelkin, Co-Director of the SEC’s Enforcement Division delivered remarks focused on the Wells process, offering suggestions for defense counsel. Deputy Attorney General Rod Rosenstein delivered two speeches in on day discussing new policies in …

This Week In Securities Litigation (Week ending May 11, 2018) Read More »

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The valuation of assets held by advisers has been a key issue for the Commission. Likewise, insider trading on political intelligence is also a focus of SEC Enforcement. The Commission’s latest case involving an adviser involves each of these key …

U-Turn Valuations, Insider Trading Yield Adviser SEC Sanctions Read More »

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