MNPI Archives

SEC Risk Alert Focuses on MNPI and Code of Ethics Compliance Issues

The SEC has issued a risk alert on MNPI and Codes of Ethics.

April 28, 2022

Tags: Code of Ethics, MNPI, SEC Examinations

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

Use of Alternative Data by Investment Advisers By Paul M. Miller and Lancelot A. King, Seward & Kissel LLP* July 20, 2021 The search for “alpha” by investment advisers has...

July 20, 2021

Tags: Alternative Data, Columns, Compliance Corner, Insider Trading, MNPI

SEC’s Gensler Questions Executive Stock Ownership Plans

SEC’s Gensler Questions Executive Stock Ownership Plans June 9, 2021 SEC Chair Gary Gensler Pointing to “real cracks in our insider trading regime,” SEC Chair Gary Gensler told a...

June 09, 2021

Tags: Caroline Crenshaw, Gary Gensler, IAC, Insider Trading, MNPI

LA PE Fund Adviser Pays $1 Million to Settle MNPI Charges

LA PE Fund Adviser Pays $1 Million to Settle MNPI Charges June 5, 2020 A Los Angeles-based private equity fund adviser has paid $1 million to settle charges that...

June 05, 2020

Tags: Compliance, MNPI, Private Equity, SEC Enforcement

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