Year: 2018

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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Scienter has been a critical element of a claim based on Exchange Act Section 10(b) in an SEC enforcement action since the Supreme Court’s decision in Aaron v. SEC, 446 U.S. 680 (1980). It has also been a key element …

Ninth Circuit: Section 14(e) Does Not Require Scienter Read More »

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