The Hedge Fund Law Report published a two-part article (Jan. 5 and Jan. 19, 2017) reporting on a presentation given Nov. 17, 2016, in New York City by Hedge Fund Industry Team Leader Marc Powers and Partners Mark Kornfeld and Walter Van Dorn. The presentation, “The Ins and Outs of the SEC Enforcement Program and Its Arsenal Against Hedge Funds,” and the articles in The Hedge Fund Law Report addressed:
- The SEC’s renewed interest in compliance with the pay to play rule.
- The relentless crackdown on insider trading
- How technology is giving the SEC an edge in detecting violations.
- SEC’s practice of trying contested cases through administrative proceedings where administrative law judges hired by the SEC decide the outcome.
- The impact of the Dodd-Frank Act’s whistleblower program on SEC enforcement efforts.
- Guidance for managers on navigating a regulatory exam or investigation.
Read the articles.