Enforcement cases and questions for private fund advisers when considering policies and procedures reasonably designed to prevent the misuse of material, non-public information.
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...
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...
SEC Enforcement Breaks Records for Total Disgorgement, Penalties, and Whistleblower Awards November 5, 2020 The SEC’s Division of Enforcement’s 2020 annual report shows a record in total monetary remedies...
12 Practical Tips for Advisers on Insider Trading Issues By Richard D. Marshall, Partner, Katten Muchin Rosenman LLP* October 20, 2020 Insider trading is a top priority of the SEC’s...
Second Circuit Insider Trading Decision Likely to Make Criminal Convictions Easier January 17, 2020 The Second Circuit issued an opinion in United States v. Blaszczak (Dec. 30, 2019), affirming wire fraud,...
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