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insider trading
Stewart tipped his father, Robert Stewart, for his own personal benefit, in violation of his duties to his employers, generating $1.1 million in illicit proceeds
Brewer has been a regular contributor to media networks, programs, and publications, including Yahoo Finance, CNBC, Fox Business, CNN, and the American City Business Journals
The COVID-19 crisis has turned the world upside down, but private fund advisers still must be extra vigilant about how new and different situations effect ...
Private fund advisers struggle with conflicts of interest, fees and expenses and putting together the right P&Ps to mitigate the risk of material, non-public information ...
Private funds are struggling with conflicts of interest, fees and expenses and policies and procedures on protecting against the leak of material, non-public information, a ...
In March, OCIE Director Pete Driscoll promised private fund advisers that the SEC would this year issue a risk alert directed at them. “That’s something ...
Failures resulted in $1M penalty for Ares Management
Compliance staff failed to comply with policies and procedures designed to prevent misuse of information
SEC monitoring the IA and IC space for failures that could suggest underlying problems
The SEC is relaxing many of its rules as the coronavirus continues to burn through the world economy, but the agency’s top enforcers have issued ...
"Broker-dealers, investment advisers, and other registrants must comply with policies and procedures that are designed to prevent the misuse of material nonpublic information"
The SEC has closed the books again on one of the biggest insider trading scandals of this century. Under a consent decree entered in federal ...
Compliance officers often complain that they don’t have enough authority in their funds. Too far removed from decisions, too siloed from the bigger company, you’ve ...
A former healthcare analyst at a private fund has agreed to a three-year bar and will pay nearly $135,000 to settle claims that he helped ...
The SEC has rewrapped its case against one of two principal witnesses in the record-setting SAC Capital prosecution, months after a federal judge set aside ...
Lee's trading enabled the S.A.C. Capital hedge fund that he managed to generate more than $1.5 million in illegal profits
SEC Charges Two Bankers and Trader in Serial International Insider Trading Scheme Litigation Release No. 24650 / October 22, 2019 Securities and Exchange Commission v. ...
SEC Obtains Asset Freeze and Charges Banker and Trader in International Insider Trading Scheme Litigation Release No. 24649 / October 22, 2019 Securities and Exchange ...
From 2009 to 2017, Siva was associated with a broker-dealer and investment adviser registered with the Commission. Siva, 57 years old, is a resident of ...
The count of the criminal indictment to which Jung pled guilty alleged, inter alia, that from October 2015 to October 2016, in violation of the ...
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