Cryptocurrency

Marwood had written policies and procedures that prohibited the dissemination of MNPI and required any potential MNPI received from any source to be brought to ...

We strongly object to the SEC’s reported recommendation to set up a fair fund, for a number of reasons. Fair funds can play an important ...

The Commission’s complaint alleged that, in the course of his employment as a portfolio manager for his former employer, Wu learned material, non-public information about ...

According to the SEC's complaint, Zhou, a resident of Beijing, China, used a newly opened brokerage account to purchase almost 40,000 shares of MedAssets at ...

A peer has contributed this example of a policy and procedure, as well as a segment of the firm's compliance manual, that deals with the ...

The SEC last year charged Vladimir Eydelman, a former stockbroker employed by Oppenheimer & Co. and later by Morgan Stanley, in a scheme involving the ...

The Department of Justice announced today that it is dismissing insider trading charges against seven defendants, some who had pled guilty – all as a ...

A failure to enforce information barriers between IA and B-D affiliates has resulted in SEC charges for the affiliates for neglecting to maintain and enforce ...

The nation’s High Court began its new term this month and one of its first actions was to decline to hear the Justice Department’s appeal ...

These proceedings arise out of WT’s and WAM’s failure to establish, maintain, or enforce written policies and procedures reasonably designed, taking into consideration the nature ...