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Ross Kamhi Shearman on Muck Rack

Ross Kamhi Shearman

As seen in: Hedge Fund Law Report
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Articles

The Best-Laid Plans: Preventing Rule 10b5-1 Plans from Going Awry (Part Two of Two)

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By Daniel Laguardia, K. Mallory Brennan, Ross Kamhi Shearman
| Hedge Fund Law Report Verified
This is the second article in a two-part series explaining the mechanics of 10b5-1 plans and their application to the private funds industry; examining the lessons that can be learned from an inquiry into possible insider trading by a major private equity fund manager that purchased debt of a portfolio company pursuant to a 10b5-1 plan (the inquiry ultimately determined that the trading had not violated insider trading restrictions); and recommending practices that may enhance the...
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The Best-Laid Plans: Preventing Rule 10b5-1 Plans from Going Awry (Part One of Two)

|
By Daniel Laguardia, K. Mallory Brennan, Ross Kamhi Shearman
| Hedge Fund Law Report Verified
The increased focus of regulators, media and private litigants on insider trading has recently expanded to a new target: Rule 10b5-1 trading plans (10b5-1 plans), which are intended to invoke the affirmative defense against insider trading claims provided by Exchange Act Rule 10b5-1 for trades executed pursuant to a written plan that meets specific requirements.
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