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Searching Content indexed under Corporate and Company Law by Joshua Newville ordered by Published Date Descending.
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Veil-Piercing Risks For Private Equity Managers Highlighted In Recent Court Decision
This is particularly true if the first entity is undercapitalized.
United States
23 Sep 2019
2
Proposed Senate Bill Would Significantly Impact Certain Private Funds And Their Affiliates
Recently, a group of Congress members introduced into Congress Senate Bill 2155 named the Stop Wall Street Looting Act of 2019. Although unlikely to be enacted into law as drafted
United States
6 Sep 2019
3
Fraud Claims Against Startup Founder Involving Secondary Market Sales Demonstrate SEC Focus On Privately-Held Companies
Last week the SEC announced a settlement of fraud claims against the founder of Jumio, Inc, a private mobile payments company, for misstating the company's financial results
United States
30 Apr 2019
4
SEC Releases FY 2017 Enforcement Results: Maintaining Focus On Individual Accountability And Investment Advisers
Last night, the SEC announced its enforcement results for the Fiscal Year 2017, accompanied by a report from the Co-Directors of its Division of Enforcement.
United States
17 Nov 2017
5
The Top Ten Regulatory And Litigation Risks For Private Funds In 2017
Private investment funds and advisers are likely to face new regulatory challenges and increased litigation risks in 2017, not only because of a change in the administration...
United States
22 Feb 2017
6
OCIE By The Numbers And The Use Of Big Data
According to Wyatt, that program has now been expanded to all regions, with the goal of examining all new registrants.
United States
27 Oct 2016
7
SEC And DOJ Charge Board Member With Trading On Inside Information . . . During A Board Meeting
The government alleges that Cope personally traded on information about a pending acquisition that he learned during board meetings, in breach of his duties to the company.
United States
26 Oct 2016
8
Who Wins In SEC Administrative Proceedings?
After the SEC lost five high-profile insider trading trials in 2014, this narrative seemed to fit.
United States
10 Aug 2016
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