Year: 2015

Insider trading cases are built on two basic theories. Under the traditional, classic model, a corporate insider uses material, non-public information obtained from his or her employer to trade in shares of the company – inside information is used for …

Two Former Capital One Employess Who Traded On Customer Data, Consent to Preliminary Injunction Read More »

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Recently Julie M. Rieve, Co-chief, Asset Management delivered remarks titled Conflicts, Conflicts Everywhere to the IA Watch 17th Annual IA Watch Compliance Watch Conference (Feb. 26, 2015)(here). Conflicts are in fact the focus of many of the cases that have …

SEC Continues to Focus on Conflicts By Advisers Read More »

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