Cryptocurrency

This Risk Alert encourages firms to review their controls designed to prevent unauthorized trading and other unauthorized activities

Cash for insider information allegedly used to make millions in illicit profits were disguised as soft dollar payments, according to the latest prosecution that targets ...

Although the Bay State's new regulation calling for investment advisory firms to obtain written certifications from expert networking consultants only affects advisers registered in Massachusetts, ...

It's recommended you train supervisors on how your firm uses expert networking consultants and how they can "escalate any material issues" to your leadership, SIFMA ...

The Securities and Exchange Commission’s (“Commission”) National Exam Program (“NEP”) has identified the master/sub-account trading model as a vehicle that could be used to further ...

It's not every day the SEC settles with a firm for $850,000 in a case that harmed no investors but hangs only on shoddy compliance ...

Click here to open a Word file that contains a peer's policy and attestation for employees to sign in an effort to prevent insider trading ...

Conducting due diligence on the network firm is critical

Fallout from the global financial crisis continues overseas as well. Last week the European Commission was expected to grant final approval for its Directive on ...

With insider trading very much in the news, you will want to consider a number of tips to discourage reps at your firm from engaging ...