Month: May 2016

Insider trading has long been a staple of SEC enforcement. The agency has brought a number of actions against corporate executives who have abused their position by using inside information entrusted to them for personal gain rather than the corporate …

SEC Settles Insider Trading Action With Corporate Executive Read More »

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Custody Rule cases are rapidly becoming a staple of SEC enforcement. Rule 206(4)-2 requires registered investment advisers with custody of client funds or securities to implement certain controls to protect those assets. Prior to its amendment, effective in March 2010, …

SEC Sanctions Audit Firm, Partner Tied to Custody Rule Read More »

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