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Searching Content indexed under Finance and Banking by Rachel Wolkinson ordered by Published Date Descending.
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Second Circuit: Intent To Harm Is Not Required For Criminal Conviction Under Investment Advisers Act
The U.S. Court of Appeals for the Second Circuit yesterday affirmed the fraud conviction of a registered investment adviser and held that proof of intent to harm is not an element of a criminal conviction...
United States
9 May 2016
2
SEC Accepts DC Circuit's Decision Vacating Retroactive Punishment
When Congress passed the Dodd-Frank Wall Street Reform and Consumer Protection Act ("Dodd-Frank") in July 2010, it authorized the SEC to impose certain newly-enacted remedial sanctions...
United States
19 Oct 2015
3
SEC Sanctions Hedge Fund Advisory Firm For Improper Valuations Of Illiquid Securities
The SEC charged that the overvaluations improperly increased the management and performance fees collected by the adviser.
United States
7 Jul 2015
4
SEC's Data-Driven Analysis Identifies Allegedly Improper Trade Allocations By Investment Advisor
The Order initiating proceedings states that DERA analyzed the firm's allocation of options trades over 35 months, from February 2010 to January 2013.
United States
2 Jul 2015
5
Proskauer Hedge Fund Seminar Recap: Fallout From The Second Circuit’s Insider-Trading Ruling
On Thursday, February 5, 2015, Ralph C . Ferrara, Robert J. Cleary and Jonathan E. Richman were invited to Proskauer’s Hedge Fund Breakfast Seminar to speak about the Second Circuit’s insider-trading ruling in Newman/Chaisson.
United States
11 Feb 2015
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