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HTMLSuitability Infractions By Mutual Fund Advisor
Suzanne Kittell, Laura Paglia; Borden Ladner Gervais LLP;
Legal Alert/Article
February 12, 2016, previously published on January 29, 2016
As a result of a contested hearing, an MFDA registrant was permanently prohibited from conducting any securities-related business in MFDA jurisdiction and subject to a $750,000 fine with $20,000 in costs for recommending unsuitable leverage investments in return of capital ("ROC") and...

 

HTMLInvestor's Obligations to Mitigate with Notice of Regulatory Proceedings (and their Relevance)
Suzanne Kittell, Laura Paglia; Borden Ladner Gervais LLP;
Legal Alert/Article
February 12, 2016, previously published on January 29, 2016
The plaintiffs were amongst several investors who lost money in corporations promoted by individuals who had been the subject of proceedings by the Alberta Securities Commission (ASC). The defendants were their chartered accountant, as was the company he incorporated for consulting work. Through...

 

HTMLCPOs, CTAs, and Other CFTC Intermediaries to Implement Cybersecurity Policies by March 1
Sutherland Asbill Brennan LLP;
Legal Alert/Article
February 12, 2016, previously published on February 11, 2016
As a reminder, all National Futures Association (NFA) member firms, including commodity pool operators (CPOs), commodity trading advisors (CTAs), futures commission merchants, swap dealers, major swap participants, introducing brokers, and forex dealer members, must adopt and implement an...

 

Adobe PDFGetting By With a Little Help From Friends: United States Supreme Court to Clarify Insider Trading Liability in Tipping Cases
Jodi L. Avergun, Kendra Clayton, Douglas H. Fischer, Adam S. Lurie, Martin L. Seidel; Cadwalader, Wickersham & Taft LLP;
Legal Alert/Article
February 12, 2016, previously published on January 27, 2016
On January 19, 2016, the United States Supreme Court granted certiorari in United States v. Salman, in which the Ninth Circuit Court of Appeals held that the government may prove a “personal benefit” to a tipper of inside information—a necessary element of an insider trading case...

 

HTMLSEC Picks a New Deputy Director of OCIE
Sutherland Asbill Brennan LLP;
Legal Alert/Article
February 9, 2016, previously published on February 5, 2016
On February 3, 2016, the SEC announced that Jane Jarcho has been named Deputy Director of OCIE. Ms. Jarcho has been the National Director of OCIE’s Investment Adviser/Investment Company examination program since 2013 and will continue in that role, overseeing approximately 600 lawyers,...

 

HTMLAdviser Sanctioned for Misleading Investors Regarding Investment Strategy and Performance
Sutherland Asbill Brennan LLP;
Legal Alert/Article
February 8, 2016, previously published on February 5, 2016
The SEC brought charges against an investment adviser and its owner for misleading investors about the investment strategy and historical performance of a hedge fund they managed. The SEC alleged that QED Benchmark Management L.L.C. and its owner Peter Kuperman represented to investors that the...

 

HTMLCFTC Amends Regulation 1.35
Brian Barrett, James M. Cain, Daphne G. Frydman, Catherine M. Krupka, David T. McIndoe; Sutherland Asbill & Brennan LLP;
Legal Alert/Article
February 4, 2016, previously published on February 3, 2016
U.S. Commodity Futures Trading Commission (CFTC) Regulation 1.35 requires futures commission merchants (FCMs), retail foreign exchange dealers (RFEDs), introducing brokers (IBs) and members of a swap execution facility (SEF) or designated contract market (DCM) (each a Covered Person and...

 

Adobe PDFDraft Bill on Open-Ended Fund Companies Gazetted
Simon H. Berry, Stephen Chan, Jane Ng; Cadwalader, Wickersham & Taft LLP;
Legal Alert/Article
February 4, 2016, previously published on January 27, 2016
Following public consultation in March 2014, the Financial Services and the Treasury Bureau (FSTB) has now published the “Consultation Conclusions on Open-ended Fund Companies”, and the related Securities and Futures (Amendment) Bill 2016 (Amendment Bill) was gazetted on 15 January...

 

Adobe PDFCrowdfunding Rules Set to Come into Force
James Leech; Brooks Business Lawyers;
Legal Alert/Article
February 4, 2016, previously published on January 24, 2016
On January 25, 2016, Multilateral Instrument 45-108 - Crowdfunding (MI 45-108) made by the Ontario Securities Commission (OSC) will come into force in Ontario. MI 45-108 is the core securities regulatory framework governing crowdfunding and online funding portals. These crowdfunding rules...

 

HTMLUPDATE: Challenges to Standing of Petrobras Opt-Out Plaintiffs Denied
John S. "Terry" McMahon; Mintz Levin Cohn Ferris Glovsky Popeo P.C.;
Legal Alert/Article
February 3, 2016, previously published on January 19, 2016
As a follow-up to our October 15 discussion about challenges to the standing of certain opt-out plaintiffs in the In re Petrobras Securities Litigation, No. 14-cv-9662 (S.D.N.Y.) consolidated litigation, Judge Rakoff has resolved those issues in two decisions. In a brief October 19, 2015 decision...

 


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