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Searching Content indexed under Security by Joshua Newville ordered by Published Date Descending.
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The Top Ten Regulatory And Litigation Risks For Private Funds In 2019
An increasingly sophisticated and active OCIE division, innovative market disruptors, a maturing credit cycle, and a philosophical change in how the private fund industry views and utilizes litigation are likely to lead to increased regulatory scrutiny and litigation risk for advisers (and their funds) in 2019.
United States
28 Feb 2019
2
Bharara Task Force On Insider Trading
Former SDNY U.S. Attorney Preet Bharara and SEC Commissioner Jackson recently announced, via NY Times op-ed, the creation of the Bharara Task Force on Insider Trading.
United States
16 Oct 2018
3
SEC Chairman Identifies Guiding Principles
On July 12, 2017, newly appointed SEC Chairman Jay Clayton delivered a speech at the non-partisan Economic Club of New York wherein he set forth several high-level guiding principles for the agency.
United States
31 Jul 2017
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