‘Enforcement 40’ for 2020
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By Securities Docket on January 28, 2015, 12:31 pm
Richard Grime joins Gibson, Dunn from O’Melveny.
By Securities Docket on January 28, 2015, 11:44 am
The close of 2014 saw the SEC’s Division of Enforcement take a victory lap. Following the release of the statistics for the fiscal year ended September 30, Division Director Andrew Ceresney touted a few records—the largest number of enforcement actions brought in a single year (755); the largest total value of monetary sanctions awarded to […]
By Securities Docket on January 28, 2015, 11:41 am
From a policy perspective, there’s reason to worry. I did some litigation before an administrative tribunal, and it’s not that different from in court litigation, with the exception of evidence admissability and objections. But it could be really quite different. Hearsay is in theory fine, there’s no requirement that you be able to present evidence […]
By Securities Docket on January 28, 2015, 9:46 am
… Ms. Riewe identified three themes on which the SEC will focus in its examinations of hedge and private equity funds: (i) conflicts of interest, (ii) valuation and (iii) compliance and controls. She discussed how these thematic issues related to both hedge funds and private equity funds. via SEC Co-Chief of Division of Enforcement’s Asset […]