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Courts Thwart SEC PIPEs Enforcement

March 24, 2008

Connecticut Law Tribune, Vol. 34, No. 12

The Securities and Exchange Commission has expressed its clear intent to target insider trading and trading related to private investments in public equity (PIPEs) as part of its campaign to regulate the hedge fund industry.

Testifying before the Senate Judiciary Committee in 2006, SEC Division of Enforcement Director Linda Thomsen stated, “Insider trading by hedge funds remains a substantial concern to the Division, and represents a significant focus of our current enforcement efforts.” Discussing the settlement of a PIPEs-related enforcement action, Scott Friestand of the SEC explained, “This case is an example of our ongoing effort to stamp out fraud and other trading abuses by investors in the PIPEs market . . . . We have devoted substantial resources to these investigations and will continue to do so.”

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Courts Thwart SEC PIPEs Enforcement

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