Insider Trading

Two employees involved with large blocks trades disclosed to certain buy-side investors non-public, potentially market-moving information, concerning impending "block trades, violating the selling shareholders’ expectations ...

Senior personnel repeatedly violated policies by, among other things, sending emails to current investors, potential investors, and industry contacts which, in certain cases, unnecessarily disclosed ...

'We need to pay attention to the scope of the duties created by the agreements we sign'

Changes haven't been linear, but the direction has

One remedy may come from the old formula: Tell it first, tell it fast, tell it all

Right size, wrong shape, Republican Commissioners say

'It's about the level of care,' expert warns

Private funds vulnerable on custody, insider trading

Plea bargain spares wife from prosecution

Firms struggle with alternative data, 'value-add' investors and expert networks, examiners find