SEC Cracks Down on CLO Manager’s Insider Trading Controls
The Securities and Exchange Commission (SEC) recently took action against a registered investment advisor, Sound Point Capital Management, for failing to have proper safeguards…
Insider Trading
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The Trades Are Coming from Inside the Company
Navigating Insider Trading Through the Power of Compliance Technology In the complex world of financial markets, maintaining compliance with insider trading regulations is crucial…
Remembering Ivan Boesky
Why is it important to remember a person who was convicted of insider trading? So, we can learn from his mistakes. That while some may think “greed is good” it doesn’t mean that insider trading is right.
Renewed Protections for Whistleblowers Change the Game
Does your company reward whistleblowers? Changing legislation reinforces the importance of whistleblower protections.
SEC Charges Investment Bank and Former ECM Syndicate Banker with “Bought Deal” Fraud
In 2024, the SEC charges Investment Bank for violations preventing the misuse of material, nonpublic information. Find out what happened and how you can prevent it.
Shadow Trading Confirmed!!! Are You Ready???
Shadow trading is here to stay. Star expert, Steve Brown, discusses the recent SEC v. Panuwat case and what that means for your firms' compliance program.
FINRA Regulatory Obligations and Related Considerations 2024
FINRA released their 2024 FINRA Annual Regulatory Oversight Report on January 9th.
Is Your Compliance Program Haunting You?
Stephen King, the world-famous author known for his horror stories, once stated, “We make up horrors to help us cope with the real ones.
The Importance of Market Abuse Surveillance
Market abuse covers a wide range of behaviors that serve to manipulate investors, give brokers an unfair advantage, or disrupt the market’s trajectory—so you…