‘Enforcement 40’ for 2020
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By Securities Docket on March 26, 2020, 3:38 pm
The Feds on Thursday clamped down on trading in shares of an obscure, China-based company called Zoom Technologies, concerned that investors have been confusing it with the teleconferencing giant whose stock has surged amid the coronavirus crisis. via Zoom confusion leads SEC to halt trading for Chinese company.
By Securities Docket on March 26, 2020, 3:18 pm
COVID-19 has created many new concerns for private fund managers; however, managers should be particularly mindful of heightened cybersecurity and fraud risks. With increased numbers of employees teleworking, there are increased vulnerabilities for cybercriminal intrusions creating privacy-related risks for fund portfolio information, LP confidential data, and other sensitive electronically-stored materials. via Cybersecurity and Fraud Risks […]
By Securities Docket on March 26, 2020, 1:50 pm
The SEC has expressed its intent to respond proactively to the impact of the coronavirus on capital markets and investors. Risks to investors can become heightened during a market downturn, and we expect that the Enforcement Division will concentrate resources on certain types of investigations, including potential: (1) material misrepresentations and omissions about the impact […]