‘Enforcement 40’ for 2020
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By Securities Docket on April 8, 2014, 8:55 am
Get caught up with the Securities Docket News Wire for April 7, 2014.
By Securities Docket on April 8, 2014, 8:00 am
Martoma makes clear that if the USAO conducts a “joint investigation” with other state or federal agencies, the USAO must produce all Brady information in the possession of the “prosecution team,” including the SEC. Given how close and how often the SEC and the USAO conduct “parallel” investigations, it is likely that federal prosecutors will find themselves reviewing […]
Posted in Criminal, SEC | Tagged Brady Rule, Web Watch
By Securities Docket on April 8, 2014, 7:52 am
The U.S. Securities and Exchange Commission (SEC) has put together a dedicated group to examine private equity and hedge funds, after the 2010 Dodd-Frank law required the funds to be regulated, according to people familiar with the matter. The examiners will look at areas including how private equity and hedge funds value their assets, disclose […]
Posted in SEC, Top | Tagged Examinations, Private equity