Tag: Insider Trading
Lessons from the SEC Win in the “Shadow” Insider Trading Case
In spite of claims from SEC officials that its recent win in the Panuwat case was “nothing novel,” the victory represents a sweeping change in the scope of insider trading liability.
August 22, 2024
Tags: Insider Trading
Enforcement cases and questions for private fund advisers when considering policies and procedures reasonably designed to prevent the misuse of material, non-public information.
September 22, 2022
SEC Charges Quantitative Analyst in Front-Running Scheme
The SEC has charged a quantitative analyst in a front-running scheme the SEC claims resulted in over $8.5 million in trading profits.
October 06, 2021
Tags: Code of Ethics, Insider Trading, MNPI, SEC Enforcement
Use of Alternative Data by Investment Advisers
The search for “alpha” by investment advisers has led to new ways to capture and utilize data in the investment decision-making process.
July 20, 2021
Tags: Alternative Data, Columns, Compliance Corner, Insider Trading, MNPI
SEC’s Gensler Questions Executive Stock Ownership Plans
SEC Chair Gary Gensler told a Chief Financial Officers forum that he’s asked SEC staff to come up with recommendations to “freshen up” the 20-year-old rule that allows corporate insiders to buy and sell company stock under formal “Rule 10b5-1 plans.”
June 09, 2021
Tags: Caroline Crenshaw, Gary Gensler, IAC, Insider Trading, MNPI
SEC Enforcement Breaks Records for Total Disgorgement, Penalties, and Whistleblower Awards
The SEC’s Division of Enforcement’s 2020 annual report is now available.
November 05, 2020
Tags: Fees and Expenses, Insider Trading, MNPI, SEC Enforcement, Share Class Disclosure, Wrap Fees
12 Practical Tips for Advisers on Insider Trading Issues
Insider trading is a top priority of the SEC’s inspection and enforcement programs. Here's what advisory firms should know.
October 20, 2020
Tags: Columns, Compliance Corner, Insider Trading
Second Circuit Insider Trading Decision Likely to Make Criminal Convictions Easier
The Second Circuit issued an opinion in United States v. Blaszczak (Dec. 30, 2019), affirming wire fraud, securities fraud, and conversion of property convictions.
January 17, 2020
Tags: Insider Trading
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