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
Tag: Code of Ethics
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 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
Not So Fast: Why Compliance Can’t Ignore Digital Assets – Even If the Investment Team Does
Registered investment advisers – even those that do not provide advice about digital assets – are increasingly becoming aware of the need to take digital assets into account when drafting and implementing their codes of ethics.
February 22, 2021
Adviser’s Former CCO Fined, Barred for Backdating Compliance Records, Withholding Information from SEC Examiners October 5, 2020 The SEC settled charges against a former chief compliance officer of a...
October 05, 2020
Tags: Code of Ethics
SEC Examination Office Issues Risk Alert on Multiple Branch Offices
SEC Examination Office Issues Risk Alert on Multiple Branch Offices November 12, 2020 The SEC’s Office of Compliance Inspections and Examinations (OCIE) has issued a Risk Alert regarding staff...
November 12, 2020
Tags: Advertising Rule, Branch Office Supervision, Code of Ethics, Custody
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