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Investment Fund to Pay More Than $600,000 for Inadvertent Violation of HSR Act

August 29, 2019 | Alert | By Bruce Sokler, Farrah Short

Read about Third Point and three funds’ agreement to pay $609,810 to settle HSR Act antitrust allegations related to their delayed reporting of securities acquired due to the merger of third parties.
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On March 15, 2017, the Securities and Exchange Commission (“Commission” or “SEC”) published in the Federal Register for comment proposed amendments to Rule 15c2-12 (the “Rule”) under the Securities Exchange Act of 1934 (“Exchange Act”).
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Fund Manager Annual Update

March 1, 2016 | Alert | By Louis Froelich, Thomas Burton, Daniel DeWolf

The SEC brought a record number of enforcement actions against investment advisers in 2015, resulting in approximately $4.2 billion in sanctions.1 This alert highlights current issues for private equity, venture capital and hedge fund managers and also summarizes certain key required annual filings.
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Mintz Levin’s Institutional Investor Class Action Recovery practice recently launched a new blog: Class Action Recovery for Mutual Funds.  This new blog will report on various happenings in class action cases that may not be covered in other securities litigation blogs or publications, and that will be of special interest to institutional investors.
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