Morgan Lewis Hedge Fund University™ Understanding Enforcement Actions and Developments in the Wake of Dodd-Frank: An Inside Look for Asset Managers

March 12, 2015

Dodd-Frank created expanded enforcement powers, and the regulators are vigorously policing their mandate in the wake of the financial crisis. Morgan Lewis lawyers presented this one-hour webinar discussing key legal developments, laws that the enforcement authorities are focused on, how to deal with the government should an investigation be pursued, and what the government’s future priorities are. The presenters addressed issues that directly affect the asset-management business in this era of wider enforcement.

Topics included:

  • The regulatory environment for asset managers
  • Insider trading, market manipulation (including spoofing and high-frequency trading), and futures/swap fraud
  • Defending an enforcement investigation and action
  • Coordination among government authorities (the Department of Justice, Securities and Exchange Commission, Commodity Futures Trading Commission, and self-regulatory organizations)
  • What’s coming down the pike