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Law and Justice Court Case Witness Solemnly Swears that the Evidence She Shall Give Shall be the Truth and Nothing but the Truth Before Testifying to Lawyers and Judge in Courthouse.
This document discloses the division's policies around requesting information, whether voluntarily or via a subpoena
'It's a novel insider trading theory,' enforcement chief tells Managed Funds Association conference
'Now we need to train our people to be think more broadly about' about insider trading, Seward & Kissel's Moustakis says
The Biden administration wants to rework American society, and sees fund managers as a problem to be solved.
Private funds' thinking has evolved from "risk management" to "value creation," PwC's Eric Janson says on RCW webinar
Cases 'should serve notice to the investment industry,' Enforcement Division Director Grewal says in video.
Shot of two coworkers having a discussion in modern office. Businessman and businesswoman in meeting using digital tablet and discussing business strategy. Confident business people working together in the office. Creative business persons discussing new project and sharing ideas in the workplace.
Violators included “supervisors and senior-level employees”—including some attached to compliance—who used platforms, such as WhatsApp and text messaging, contrary to firm P&Ps
Smiling business people using digital tablet planning start up project, sharing ideas at workplace. Successful colleagues working in modern office. Business meeting concept
The CFTC enters the regulatory fray over firms' use of off-channel communications for work
SEC Chairman Gary Gensler
"AI washing, whether it's by financial intermediaries such as investment advisers and broker dealers, or by companies raising money from the public, that AI washing ...
"If an investment adviser is claiming to employ AI and offering you investment advice, or a company is making claims about incorporating AI technology in ...

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