SEC Compliance & Enforcement Update - May 2012

May 22, 2012

SEC Practice Series Complimentary Webinar

Archived media:

The lawyers of McGuireWoods’ SEC practice group for an informative discussion of securities law developments, as well as guidance on compliance and enforcement matters.

Insider Trading Update
James M. Anderson III, McGuireWoods LLP
Jeffrey J. Chapman, McGuireWoods LLP
A discussion of recent actions brought by the SEC under Rule 10b-5 including updates to consider for your insider trading policy, and initial steps to take if an allegation of insider trading arises.

Large Trader Reporting Rules (Rule 13h-1)
Jill Misage Webb, McGuireWoods LLP
A brief discussion of the impact of the April 20 SEC order on issuers.

“Supervisory Liability”
David H. Pankey, McGuireWoods LLP
A discussion of the potential for compliance officers of hedge funds and private equity funds to be subject to SEC actions for failure-to-supervise.

Moderated by Karl M. Strait, Partner, McGuireWoods LLP

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