Enforcement

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.

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

The CFTC enters the regulatory fray over firms' use of off-channel communications for work

"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 ...