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Last week the hedge fund adviser Level GlobalInvestors settled SEC charges of insider trading by agreeing to pay $21.5 million. It's the latest development in ...
A hedge fund adviser settles an SEC charge of insider trading.
District judge approves SEC settlement with Sigma Capital.
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, ...
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