Insider Trading

There were no P&Ps for Marathon employees to conduct due diligence concerning advisers’ evaluation or handling of any potential MNPI or for obtaining a representation ...

The adviser failed to establish, maintain, and enforce written P&Ps reasonably designed to prevent the misuse of material nonpublic information concerning its trading of collateralized ...

The protection of MNPI remains a top focus of the SEC's Division of Examinations

SRO's insider trading detection program made 450 referrals to the SEC and other regulators last year alone

'It's a novel insider trading theory,' enforcement chief tells Managed Funds Association conference

'Now we need to train our people to be think more broadly about' about insider trading, Seward & Kissel's Moustakis says

Witness' about-face leaves feds without case

'Scary' case should worry small- and mid-sized managers, expert says

Two employees involved with large blocks trades disclosed to certain buy-side investors non-public, potentially market-moving information, concerning impending "block trades, violating the selling shareholders’ expectations ...

Senior personnel repeatedly violated policies by, among other things, sending emails to current investors, potential investors, and industry contacts which, in certain cases, unnecessarily disclosed ...