SEC Risk Alert Focuses on MNPI and Code of Ethics Compliance Issues
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April 28, 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
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
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
SEC Enforcement Breaks Records for Total Disgorgement, Penalties, and Whistleblower Awards
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...
November 05, 2020
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
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