Insider Trading

Failures resulted in $1M penalty for Ares Management

Compliance staff failed to comply with policies and procedures designed to prevent misuse of information

SEC monitoring the IA and IC space for failures that could suggest underlying problems

The SEC is relaxing many of its rules as the coronavirus continues to burn through the world economy, but the agency’s top enforcers have issued ...

"Broker-dealers, investment advisers, and other registrants must comply with policies and procedures that are designed to prevent the misuse of material nonpublic information"

The SEC has closed the books again on one of the biggest insider trading scandals of this century. Under a consent decree entered in federal ...

Compliance officers often complain that they don’t have enough authority in their funds. Too far removed from decisions, too siloed from the bigger company, you’ve ...

A former healthcare analyst at a private fund has agreed to a three-year bar and will pay nearly $135,000 to settle claims that he helped ...

The SEC has rewrapped its case against one of two principal witnesses in the record-setting SAC Capital prosecution, months after a federal judge set aside ...

Lee's trading enabled the S.A.C. Capital hedge fund that he managed to generate more than $1.5 million in illegal profits