Insider Trading

The Commission’s amended complaint alleged that Zirinsky engaged in unlawful insider trading by purchasing the common stock of Philadelphia Consolidated Holdings Corp. (“Philadelphia Consolidated) in advance ...

Both men previously pled guilty to criminal charges arising out of the same conduct. Jorgenson was sentenced to 24 months in jail and Stokke was ...

The SEC alleges that Dr. Xiaoyu Xia and Ms. Yanting Hu, residents of Beijing, China, each purchased out-of-the-money call options in 58.com in the time ...

Investment Advisers Act section 204A requires investment advisers to establish, maintain, and enforce written P&Ps reasonably designed to prevent the misuse of material, non-public information ...

There is no doubting that securities regulators are squarely focused on the issue of insider trading.  The numbers don’t lie:  in the past 5 years ...

Trading is the heartbeat of most advisory firms – and an area compliance must monitor.   Pitfalls exist aplenty. Insider trading. Trading ahead. Unfair trade allocations. Expensive ...

Earlier this month, the U.S. Second Circuit Court of Appeals denied the government’s request that the court reexamine its ruling in United States v. Newman. ...

In a bid to require the SEC to implement a more rigorous, fair and public process for the granting of disqualification waivers, Rep. Maxine Waters ...

The court filings are flying in the U.S. v. Newman insider trading case (IA Watch, Dec. 11, 2014). On Jan. 23, both the DOJ and ...

Click here to open a Word file from a peer that can serve as an attestation form for staff. Employees would attest to understanding the ...