Publications

SRZ Expands Enforcement and Litigation Capabilities

February 8, 2010
Securities Litigation, Regulation & Enforcement Developments - Winter 2010

In 2008, increasing calls for heightened regulation of the securities industry amid the unfolding financial crisis convinced Schulte Roth & Zabel that our financial services clients would find themselves subject to increased governmental oversight, regulation and enforcement activity.

Developments in recent months have confirmed that belief, as the SEC, the Department of Justice and other regulators have taken unprecedented and aggressive steps to scrutinize the hedge fund industry. Formation of the SEC’s Asset Management Unit is but one aspect of that agency’s intensified focus on hedge funds, particularly as relates to insider-trading concerns. Meanwhile, criminal prosecutors have embraced a broad array of criminal investigative techniques to examine financial services firms.