Cryptocurrency

IA Watch has now obtained more SEC document request letters stemming from OCIE's new never-been-examined initiative (IA Watch, March 24, 2014). Advisers are receiving relatively ...

The SEC obtains a judgment against a defendant and his expert consulting firm in an insider trading case.

The announcement of the never-been-examined initiative isn't the only new development out of OCIE (IA Watch, Feb. 24, 2014). This month, examiners will begin using ...

An Appeal Courts decision last week couldn't have been good news for Joseph Contorinis as the former portfolio manager for a hedge fund sat in ...

It's not an SEC case but it deserves your attention if your firm engages in any systemic effort to garner external analyst's sentiments about the ...

The SEC charges a Microsoft senior manager and his friend with insider trading.

At first, Toby Scammell mounted a vigorous defense of charges that he used insider information to earn a 3,000% profit. The 28-year-old California man initially ...

SEC Charges Another Tipper in the Galleon Insider Trading Scheme

A pledge to fix compliance failures makes up part of the case that has now produced "the largest financial penalty in history for insider trading ...

Two seconds. That's less time than it takes to read this sentence. Yet in today's world of high-frequency trading, it could prove to be a ...