An investment adviser settled SEC charges for disclosing to investors, potential investors and industry contacts material non-public information in violation of the adviser's policies and procedures.
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In a new risk alert, the SEC Division of Examinations highlighted observed compliance deficiencies by investment advisers on rules preventing the misuse of nonpublic information.
An investment adviser settled SEC charges for policy and procedure failures, prohibited adviser transactions and the misuse of material non-public information (“MNPI”).
At an SEC Investor Advisory Committee meeting, SEC Chair Gary Gensler and SEC Commissioner Hester M. Peirce offered contrasting views on market regulation, particularly as to new technologies and financial products.
A private equity firm and registered investment adviser settled SEC charges for failing to implement policies to prevent the misuse of material non-public information.