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Searching Content indexed under Compliance by Richard Rosenfeld ordered by Published Date Descending.
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New York Subjects State Licensees To Whistleblower Protections
Add the New York Department of Financial Services (the "DFS" or "Department") to the veritable orchestra of governmental entities and regulatory authorities that have issued requirements
United States
20 Feb 2019
2
The SEC Requires Hedge Fund Harbinger Capital and its Manager Falcone to Admit Wrongdoing in Landmark Settlement
The US Securities and Exchange Commission (SEC) recently announced that Philip A. Falcone, a New York-based hedge fund advisor, and the hedge fund he managed, Harbinger Capital Partners LLC (Harbinger Capital), have agreed to settle allegations of misappropriation of client assets, market manipulation and client betrayal.
United States
22 Aug 2013
3
US Court Of Appeals for the Second Circuit Clarifies Standard for "Domestic Transactions" Prong of Morrison
In Morrison v. National Australia Bank Ltd., the US Supreme Court sharply restricted the extraterritorial applicability of the antifraud provisions of the securities laws.
United States
25 Apr 2012
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