It is fundamental that investment professionals accurately disclose their polices and procedures and adhere to them. Yet an increasing number of proceedings are being brought by based on failing to follow to those procedures. In the Matter of Equinox Fund …
Tag: disclosure
This Week In Securities Litigation (Week ending October 30, 2015)
The SEC’s apparent preference for administrative proceedings as a venue for its enforcement actions continues to draw criticism. H.R. 3798 is now pending in the House of Representatives. The bill is tilted the “Due Process Restoration Act of 2015.” It …
This Week In Securities Litigation (Week ending October 30, 2015) Read More »