The SEC and other government agencies continue to focus enforcement and examination efforts on managers of private hedge funds and private equity funds. This program will bring together top regulators, leading in-house legal and compliance professionals and expert outside counsel, to discuss the latest issues, trends and risks in regulatory compliance oversight.
“Mid-Year Roundup on SEC and FINRA Enforcement Developments,” DC Bar
Steve Crimmins to speak at the Practising Law Institute (PLI) seminar on November 30th, 2017 in New York, NY. A live webcast of the program is available for those not able to attend in person.
Steve Crimmins to serve on Columbia Law School Conference panel addressing Insider Trading & Enforcement.
Steve Crimmins to speak at PLI program "Hedge and Private Fund Enforcement & Regulatory Developments 2016" - The SEC and other government agencies continue to focus enforcement and examination efforts on hedge funds and private equity firms. While insider trading remains a priority, examinations and investigations have turned to increasingly complex issues that private funds must deal with on a daily basis - valuation, conflicts of interest regarding fees, cybersecurity, big data and allocation of investment opportunities and expenses. As the regulators’ and prosecutors’ expertise and sophistication mature, so does their use of in-house industry experts, whistle blowers and data analytics.
Steve is a panelist with Judge Rakoff and SEC Enforcement Director Ceresney on "Enforcement and Insider Trading", 2016 Columbia Law School Annual Securities Regulation Conference. Other leading securities experts including judges, practitioners, and regulators, will gather to discuss the latest securities law developments.