SAC Capital, Insider Trading and the Southern District

It would be old news already if the case had not garnered…

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SEC Examinations Targeting Advisers Who Are Still Waiting for Godot

I have worked with a number of advisers who have never ever…

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Three Steps to an Effective Whistleblower Program

Everyone should have one. If you need more convincing, please read my…

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FINRA’s Conflicts of Interest Report: Bridging the Great Divide?

FINRA issued a report on conflicts of interest within the broker-dealer industry…

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The SEC and the Chief Compliance Officer, 2013

Mary Jo White recently gave a speech before the National Society of…

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SEC Brings First Action Under Chief Compliance Officer Rule

The SEC recently sanctioned a former portfolio manager  under Rule 38a-1(c) of…

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