Insider Trading

Regulatory 'firsts' land uncomfortably close to private funds

As McKinsey consultants, Investments Committee members were routinely privy to MNPI relating to, for example, financial results, planned bankruptcy filings, mergers and acquisitions, product pipelines ...

Registered advisers struggle with registration, fees, valuations, conflicts of interest and MNPI, Commission data shows

Advisers see disturbing signs of regulatory innovation

Funds face 'stress-test'

In total, on about 3,000 occasions, Polevikov used this material non-public information to execute trades in his wife’s brokerage account in the same securities and ...

Chairman talks market structure, gamification, disclosures, China, ESG, fee disclosures, cybersecurity, exams.

Unproven theory may make firms hostage to P&Ps, side deals

RCW talked to experts about how firms can cut down on their risk of SEC deficiencies or enforcement cases stemming from material, non-public information problems. ...

Study caught regulators' attention year before historic case filed