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Investment Management Blog | Sheppard Mullin

Investment Management Blog focuses on legal changes to Real Estate, Finance, Venture Capital Firms, and Private Equity Laws.

http://www.sheppardinvestmentmanagement.com/

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Sheppard, Mullin, Richter & Hampton

Sheppard, Mullin, Richter & Hampton

333 S. Hop●●●●●●●●●●48th Floor

Los ●●●●eles , CA, 90071

US

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1.21●●●●1398
do●●●●●@sheppardmullin.com

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Sheppard, Mullin, Richter & Hampton

Sheppard, Mullin, Richter & Hampton

333 S. Hop●●●●●●●●●●48th Floor

Los ●●●●eles , CA, 90071

US

1.21●●●●1780
1.21●●●●1398
do●●●●●@sheppardmullin.com

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Investment Management Blog | Sheppard Mullin | sheppardinvestmentmanagement.com Reviews
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Investment Management Blog | Sheppard Mullin | sheppardinvestmentmanagement.com Reviews

https://sheppardinvestmentmanagement.com

Investment Management Blog focuses on legal changes to Real Estate, Finance, Venture Capital Firms, and Private Equity Laws.

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Staying Above The Political Fray - The RIA Political Contribution Rule | Investment Management Blog

http://www.sheppardinvestmentmanagement.com/2014/11/staying-above-the-political-fray-the-ria-political-contribution-rule

Staying Above The Political Fray – The RIA Political Contribution Rule. Staying Above The Political Fray – The RIA Political Contribution Rule. November 18, 2014. For further information regarding the foregoing, please contact either Thomas Devaney ( TDevaney@sheppardmullin.com. 212-634-3042) or Jung Yeon Son ( JSon@sheppardmullin.com. In Wake of Panama Papers Scandal Obama Calls for Stricter Bank Regulations, Tax Rules. The Benefit of the Doubt: SEC Scores an Insider Trading Win Despite Newman’s. SEC Is...

2

Second Circuit Affirms Tippee Liability | Investment Management Blog

http://www.sheppardinvestmentmanagement.com/2014/12/second-circuit-affirms-tippee-liability

Second Circuit Affirms Tippee Liability. Second Circuit Affirms Tippee Liability. December 11, 2014. On December 10, 2014, the Second Circuit Court of Appeals rendered a decision [1]. The Second Circuit cited the U.S. Supreme Court case. Dirks v. S.E.C. Sets forth the theory that without personal gain, the insider has not breached his fiduciary duty. The Second Circuit expounded on the clear elements of establishing tippee liability in this seminal. Decision. First, the Second Court cites. Sheppard Mulli...

3

Current Trends and Risks in the Private Equity Industry | Investment Management Blog

http://www.sheppardinvestmentmanagement.com/2014/06/house-committee-questions-authority-of-a-dhhs-staff-division-to-regulate-health-it

Current Trends and Risks in the Private Equity Industry. Current Trends and Risks in the Private Equity Industry. June 12, 2014. In a speech last month, Andrew Bowden, Director of the Office of Compliance Inspections and Examinations ( OCIE ) at the U.S. Securities and Exchange Commission (the SEC ), generated some controversy within the private equity industry. (A weblink to a copy of the speech can be found here. Cherry-picking comparables or adding back inappropriate items to EBITDA especially costs t...

4

Finance, Venture Capital, Real Estate Law | Investment Management Blog

http://www.sheppardinvestmentmanagement.com/practice

To read more about our investment management practice. Sheppard Mullin is a full service Global 100 firm with 750 attorneys in 15 offices located in the United States, Europe and Asia. Since 1927, companies have turned to Sheppard Mullin to handle corporate and technology matters, high stakes litigation and complex financial and property transactions. In the U.S., the firm's clients include half of the Fortune 100. For more information, please visit www.sheppardmullin.com. Subscribe to this blog by email.

5

SEC Releases 2015 Examination Priorities | Investment Management Blog

http://www.sheppardinvestmentmanagement.com/2015/01/sec-releases-2015-examination-priorities

SEC Releases 2015 Examination Priorities. SEC Releases 2015 Examination Priorities. January 16, 2015. On January 13, 2015, the Office of Compliance Inspections and Examinations ( OCIE ) of the Securities and Exchange Commission (the SEC ) released its 2015 examination priorities. Protecting Retail Investors and Investors Saving for Retirement. Using Data Analytics to Identify Signals of Potential Illegal Activity. The OCIE concluded by stating that it will allocate examination resources to (i) municipal ...

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Investment Management: Sheppard, Mullin, Richter & Hampton LLP

http://www.sheppardmullin.com/practices-241.html

Message From Our Chairman. The Sheppard Mullin Difference. Antitrust Counseling and Compliance. California Antitrust and Unfair Competition Law. Cartel Investigations and Litigation. EU Competition and Regulatory. Government Merger and Civil Conduct Investigations. Intellectual Property / Antitrust. Private Civil Antitrust Litigation. Commercial Mortgage Backed Securities ("CMBS"). Municipal and Public Entity Restructuring. Family Owned and Closely-Held Businesses. Joint Ventures and Strategic Alliances.

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SEC Co-Chief of Division of Enforcement’s Asset Management Unit Identifies 2015 Exam Priorities for Hedge and Private Equity Funds. January 27, 2015. SEC Releases 2015 Examination Priorities. January 16, 2015. On January 13, 2015, the Office of Compliance Inspections and Examinations ( OCIE ) of the Securities and Exchange Commission (the SEC ) released its 2015 examination priorities. Second Circuit Affirms Tippee Liability. December 11, 2014. November 18, 2014. September 23, 2014. Andrew Ceresney, the ...

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