Firm News | November 1, 2021
A case currently before the United States Supreme Court could significantly restrict the scope of an important defense to clawback actions, limiting its usefulness for entities that are not major financial institutions or large funds. Based on recent oral argument, the Bankruptcy Code safe harbor for clawbacks may be given a narrow interpretation, leaving it…
Client Alerts | November 29, 2017
Effective October 31, 2017, after being signed into law by New York City Mayor Bill de Blasio on May 4, 2017, The New York City Human Rights Law has been amended to prohibit employers from asking questions about job applicants’ history of wages, salary, benefits, and other compensation during all stages of the interview process.…
Client Alerts | November 2, 2017 | Employment Litigation
Background On September 14, 2017, the staff of the Office of Compliance Inspections and Examinations (“OCIE“) of the Securities and Exchange Commission (the “SEC“) issued a risk alert (the “Risk Alert“)[1] regarding the most frequently identified compliance issues related to SEC-registered investment adviser (“RIA“) compliance with Rule 206(4)-1 (the “Advertising Rule“) under the Investment Advisers…
Client Alerts | October 31, 2017 | Hedge Funds
Kleinberg Kaplan is honored to announce we have been awarded “Best Boutique Law Firm for Hedge Funds” by HFMWeek at its HFM US Hedge Fund Services Awards 2017. The HFM US Hedge Fund Services Awards honor hedge fund service providers that have demonstrated exceptional innovation, customer service and performance on a yearly basis. Winners are…
Firm News | October 20, 2017
Kleinberg Kaplan has been recognized for the 4th consecutive year by IFLR1000 in the areas of Hedge Funds and M&A. The firm’s Hedge Funds group is the only firm of its size ranked in the Top 3 tiers by IFLR for Hedge Funds. In addition, Kleinberg Kaplan’s M&A practice received “notable mention” for its work…
Firm News | October 19, 2017
Andrew S. Katzenberg will be presenting at the 54th Annual Hawaii Tax Institute on “Qualifying Gifts to Charities Outside of the United States for the Income Tax Charitable Deduction.” Andrew will be discussing the methods to obtain an income tax deduction when gifting abroad through public charities, fiscal sponsors and private foundations. To learn more…
Firm News | October 5, 2017
Kleinberg Kaplan has been shortlisted as a finalist for the HFM US Hedge Fund Services Awards 2017 in four categories: “Best boutique law firm,” “Best onshore law firm – hedge fund start-ups,” “Best onshore law firm” and “Best onshore law firm – client service.” The HFM US Hedge Fund Services Awards honors hedge fund service…
Firm News | September 28, 2017
We are pleased to announce that 16 of the firm’s attorneys were selected for inclusion in the 2017 edition of Super Lawyers®, a national legal ranking. Attorneys were nominated by their peers and recognized for their outstanding professional achievement in several legal practice areas including business/corporate, business litigation, estate & probate, mergers & acquisitions, real…
Firm News | September 28, 2017
Kleinberg Kaplan Litigation chair Marc Rosen was quoted extensively by Hedge Fund Law Report concerning the industry-wide impact of the recent Martoma insider trading case ruling and the evolution of this body of law. The Second Circuit, in August, lowered the bar for the S.E.C. to pursue enforcement actions for insider trading violations by repudiating…
Firm News | September 18, 2017
The U.S. Court of Appeals made a major change to insider trading law in its ruling this week in Martoma v. United States, involving Matthew Martoma, a former portfolio manager at S.A.C. Capital Advisors. The Second Circuit held that the inference of a personal benefit to a tipper no longer requires a showing of a…
Client Alerts | August 25, 2017 | Hedge Funds
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