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Searching Content indexed under Finance and Banking by Ropes & Gray LLP's Securities & Enforcement Practice Group ordered by Published Date Descending.
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Second Circuit Raises The Bar For Proving Tippee Liability
Wednesday, the U.S. Court of Appeals for the Second Circuit vacated the criminal insider trading convictions of two former hedge fund managers, and in doing so, clarified the elements required to prove an insider trading charge against a "tippee."
United States
15 Dec 2014
2
Regulation FD: A Case Study On Enforcement
On September 6, 2013, the Securities and Exchange Commission issued a cease-and-desist order settling charges that Lawrence Polizzotto, the former head of investor relations at First Solar, Inc., a solar energy company, violated Regulation FD.
United States
11 Sep 2013
3
SEC Brings Enforcement Action Against Mutual Fund Directors For Alleged Failures In Oversight Of Valuation Committee
On December 10, 2012, the SEC filed an order instituting enforcement proceedings (the "OIP") against both the interested and the independent directors of five registered investment companies advised by Morgan Asset Management, Inc. (the "Adviser"), alleging that the directors failed to properly carry out their duties during several months in 2007 with respect to overseeing the determination of the "fair value" of certain structured product securities owned by four closed-end funds and three seri
United States
14 Dec 2012
4
Legal And Compliance Officers Left In Doubt About Their Personal Liability
On October 19, 2009, the SEC instituted an administrative proceeding against Theodore Urban, the former general counsel of a broker-dealer, alleging that he had "failed to supervise" a registered representative of the firm.
United States
21 Feb 2012
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