Month: August 2017

The SEC has in the past brought actions against political intelligence firms. One involved compliance procedures and required admissions as part of the settlement. In the Matter of Marwood Group Research, LLC, Adm. Proc. File No. 3-16970 (Nov. 24, 2015). …

SEC Charges Adviser With Deficient Controls Read More »

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This is the second segment of an occasional series regarding a group of criminal and civil securities fraud actions involving trading in opaque markets and the lessons that can be drawn them; the first segment is here. Litvak I Jesse …

Trading in Opaque Markets: Fraud, Materiality and Compliance Read More »

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