Cryptocurrency

The patchwork of communications pieced together by SEC investigators into solid evidence of insider trading leaves little surprise that the vaunted RIA SAC Capital Advisors ...

Joseph Massoud, the founder of buyout firm Compass Group Management settled insider trading charges the Securities and Exchange Commission had brought against him.

The long arm of Dodd-Frank has reached into the U.S. Sentencing Commission, which April 13 promulgated proposals that would increase penalties for insider trading cases, ...

It seems almost boiler plate but it's a strategy worth a slot in your arsenal: add an attestation to your firm's annual certification that has ...

This Risk Alert encourages firms to review their controls designed to prevent unauthorized trading and other unauthorized activities

Cash for insider information allegedly used to make millions in illicit profits were disguised as soft dollar payments, according to the latest prosecution that targets ...

Although the Bay State's new regulation calling for investment advisory firms to obtain written certifications from expert networking consultants only affects advisers registered in Massachusetts, ...

It's recommended you train supervisors on how your firm uses expert networking consultants and how they can "escalate any material issues" to your leadership, SIFMA ...

The Securities and Exchange Commission’s (“Commission”) National Exam Program (“NEP”) has identified the master/sub-account trading model as a vehicle that could be used to further ...

It's not every day the SEC settles with a firm for $850,000 in a case that harmed no investors but hangs only on shoddy compliance ...