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Searching Content indexed under Securities by Kirkland & Ellis International LLP ordered by Published Date Descending.
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Och-Ziff Restitution Highlights Risks Of Subsidiary Pleas In Criminal Resolutions
In 2016, hedge fund Och-Ziff Capital Management Group ("Och-Ziff") entered into one of the largest Foreign Corrupt Practices Act ("FCPA")
United States
23 Sep 2019
2
SEC Risk Alert Cites Frequent Principal And Agency Cross Trading Issues For Advisers
On September 4, the SEC's Office of Compliance Inspections and Examinations ("OCIE") issued a Risk Alert (the "Risk Alert")
United States
20 Sep 2019
3
New SEC Policy For No-Action Requests To Exclude Rule 14a-8 Shareholder Proposals For 2019–2020 Proxy Season
The SEC's Division of Corporation Finance announced that, starting with the 2019-2020 proxy season, it may issue oral rather than written guidance for some requests to exclude Rule 14a-8 shareholder
United States
12 Sep 2019
4
Structuring Venture Capital, Private Equity, And Entrepreneurial Transactions - August 2019
Chicago corporate and tax partner Jack S. Levin has co-authored (along with Donald E. Rocap) a widely used treatise in the corporate and tax areas.
United States
5 Sep 2019
5
SEC Proposes Simplified Risk Factors, Legal Proceedings And Business Disclosures
On August 8, 2019, the SEC proposed rules to update and simplify risk factors, legal proceedings and business disclosures required
United States
29 Aug 2019
6
Lurking Questions for Board Observers
A recent Federal appellate court decision on potential liability of board observers under the securities laws is a useful reminder that the legal status
UK
19 Aug 2019
7
Upcoming Deadline For Form SHL (Holdings Of U.S. Fund Interests By Non-U.S. Persons)
The U.S. Treasury Department is in the process of conducting a survey of foreign ownership of U.S. securities as of June 30, 2019.
United States
8 Aug 2019
8
SEC Settles With Private Fund Adviser And Portfolio Manager Over Valuation Policies And Procedures
On June 4, 2019, the SEC entered into a consent order (the "Order") with a private fund adviser and one of its portfolio managers over alleged shortcomings in the adviser's valuation
United States
27 Jun 2019
9
OCIE Risk Alert Relating To Safeguarding Customer Records And Information In Cloud-Based And Other Network Storage
On May 23, 2019, the SEC's Office of Compliance Inspections and Examinations ("OCIE") issued a Risk Alert regarding the storage of electronic customer records in network and cloud-based
United States
17 Jun 2019
10
SEC Settles With Private Fund Manager And Its Principals Over Alleged Misuse Of Fund Assets
On May 6, 2019, the SEC entered into a consent order ("Order") with a private equity fund manager and certain of its principals alleging, in part, that the manager misused the assets of one of its private funds to the advantage of the manager and certain of its principals.1 According to the Order:
United States
3 Jun 2019
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