SRZ Partners Discuss Key Issues and Recent Changes in Securities Regulatory Enforcement and Civil Litigation Concerning the Private Investment Fund Industry

The Hedge Fund Journal recently profiled SRZ’s leading securities litigation practice and spoke to SRZ attorneys about key securities regulatory enforcement and civil litigation issues affecting the private investment fund industry as well as what to expect in 2016. In the article, SRZ partners Eric A. Bensky, Brian T. Daly, Harry S. Davis, William H. Gussman, Jr., David K. Momborquette, Howard Schiffman, Gary Stein and Michael E. Swartz discuss the impact of the seminal Newman decision on insider trading law (including important limitations on the applicability of Newman), collaboration between U.S. and foreign securities regulators, market manipulation cases (including “spoofing” and other actions involving high frequency traders), liability of chief compliance officers and other “gate keepers,” activist investors, antitrust disclosure issues, fines and prime broker liability, compliance with Rule 105 under Regulation M (which relates to short selling in advance of certain secondary offerings), civil litigation relating to appraisal statutes, and the increasing interrelationship between SEC examinations, regulatory investigations and enforcement actions, among other topics.

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