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District Court Views

In August 2021, the SEC filed a complaint in the U.S. District Court charging Matthew Panuwat, a former employee of Medivation Inc., an oncology-focused biopharma. ....

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UPDATE: Issue Lines Drawn in SEC Shadow Trading Case | Patterson Belknap Webb & Tyler LLP

In February 2022, in SEC Shadow Trading Case Breaks Ground, we discussed Securities and Exchange Commission v. Panuwat, the SEC’s first enforcement action brought on the theory of. ....

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SEC Resumes Focus on Fund Manager MNPI and Insider Trading

Renewed SEC focus on insider trading, MNPI, related internal controls may be a Top Ten Regulatory and Litigation Risks for Private Funds in 2022. Last week, SEC Division of Examinations issued risk alert on Investment Adviser Material Non-Public Information Compliance Issues ....

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SEC Shadow Trading Case Breaks Ground – But There Remains a Trail to Blaze | Patterson Belknap Webb & Tyler LLP

A California Court recently allowed the Securities and Exchange Commission (the “SEC” or “Commission”) to proceed with its first insider trading prosecution based on a theory of “shadow. ....

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On January 14, 2022, in a closely watched decision, a federal judge in the Northern District of California denied a motion to dismiss a complaint brought by the US. Securities and. ....

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