SEC Enforcement

Hedge Fund and Private Equity: Enforcement Developments

At the Spring Meeting of the ABA’s Business Law Section in Montreal on April 7, 2016, I’ll be chairing a program entitled “Hedge Funds and Private Equity: Evolving Enforcement from the SEC and DOJ and Best Practices to Avoid Pitfalls.”  We have a stellar, highly-accomplished panel of experts who will shed light on the most effective… Continue reading Hedge Fund and Private Equity: Enforcement Developments

Corporate Monitors

The Confidentiality of Reports by a Corporate Compliance Monitor

In a groundbreaking decision, Judge Gleeson granted a third party’s motion to make public a Report by the compliance monitor appointed under HSBC’s deferred prosecution agreement because the Report is a “judicial record” that “the public has a First Amendment right to see.”  United States v. HSBC Bank USA and HSBC Holdings PLC, No. 12-CR-763… Continue reading The Confidentiality of Reports by a Corporate Compliance Monitor