Asset Management
Asset Management Law360 provides breaking legal news and analysis on the asset management industry. Coverage includes litigation, policy developments, and corporate deals involving investment firms, mutual funds, hedge funds, bond funds, pension funds, and real estate investment trusts.
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Latest News in Asset Management
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September 22, 2017
SEC Takes Walk In Businesses' Shoes With Database Hack
The U.S. Securities and Exchange Commission provided companies with a crash course in what to do — and what not to do — when it recently revealed that its electronic public document filing system had been hacked last year.
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September 22, 2017
Ex-Hunton Atty Seeks No Jail Time For Tipping Off Friend
A former Hunton & Williams LLP patent partner who hinted to a friend about an upcoming Pfizer deal asked a New York federal judge to sentence him to probation for his securities fraud and conspiracy conviction, citing his kindhearted acts and restating his claim that he does not recall tipping off his friend, according to court documents made public Friday.
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September 22, 2017
LendingClub Fights Shareholder Cert. In Stock Drop Suit
LendingClub Corp. asked a California federal judge Thursday not to certify a class of investors suing over the company hiding defective internal controls, saying the “lawyer-controlled” named plaintiff had an unusual investment history that made it ill-equipped to lead the class.
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September 22, 2017
SEC Says Colo. Adviser Conned Investors And Lost Their $1M
The U.S. Securities and Exchange Commission on Friday sued Colorado investment advisory firm Moses Investment Co. and its owner for lying about his trading experience, past performance and the riskiness of investing, saying investors lost nearly $1 million.
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September 22, 2017
BofA, Merrill Unit Pay $5M To Settle 'Pre-Hedging' Probes
Bank of America Corp. and its Merrill Lynch Pierce Fenner & Smith Inc. broker-dealer unit agreed to pay a total of $5 million to settle allegations they misled prosecutors and regulators investigating former New York swaps traders for executing futures trades after learning big trades were in the pipeline, federal authorities announced Friday.
Areas of Coverage
- TRANSACTIONS
- Initial public offerings
- Joint ventures
- Mergers and acquisitions
- Spinoffs
- Franchise and management agreements
- Real estate deals
- Shareholder activism involving hedge funds and hedge fund managers
- AGENCIES
- U.S. Commodity Futures Trading Commission
- U.S. Department of Justice
- U.S. Securities and Exchange Commission
- Financial Industry Regulatory Authority
- Internal Revenue Service
- Pension Benefit Guaranty Corp.
- U.S. Government Accountability Office
- POLICY & REGULATION
- Dodd-Frank Act
- Financial company lobbying
- International banking legislation and regulation
- LITIGATION
- Bankruptcies involving assets managed by hedge funds, pension funds, mutual funds, or other investment managers
- Restructuring and distressed debt issues
- PROFILES
- Personnel moves
- Profiles of asset management practices
Readership
- Asset management lawyers at top law firms
- Corporate counsel and compliance officers at Fortune 1000 companies
- Executives and attorneys in the asset management industry
- Information experts at law firms, agencies, and companies
- Policymakers at federal and state agencies
- Judges and court staff across the U.S.
- Professors, students, and library staff at every accredited law school in the U.S.
- Attorney and law firm marketing professionals