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Join the Securities Litigation and Enforcement Group on LinkedInSecurities Docket News Wire for April 7, 2014
Get caught up with the Securities Docket News Wire for April 7, 2014.
An Upside to Parallel Civil and Criminal Investigations? Criminal Authorities May Have to Disclose Exculpatory Information in the Possession of the Civil Agency — The National Law Review
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 […]
SEC forms squad to examine private funds – sources — Reuters
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 […]