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SEC Settles With RIA for MNPI-Related Compliance Failures Related to CLO Business

On August 26, 2024, the Securities and Exchange Commission (SEC) announced a settlement with a registered investment adviser (RIA) for failing to establish, maintain and enforce adequate written policies and procedures...more

“Shadow Trading” is Insider Trading: Jury Establishes Liability in Historic Shadow Trading Case

On April 5, 2024, a jury found Matthew Panuwat civilly liable for insider trading in violation of federal securities laws in a first-of-its-kind “shadow trading” case (also referred to as “sympathy trading”), which was...more

SEC Settlement Reflects Continued Scrutiny Regarding MNPI, Advertisements and Investor Communications

On December 26, 2023, the U.S. Securities and Exchange Commission (SEC) announced a settlement with a registered investment adviser, OEP Capital Advisors, L.P. (OEP). The settlement found that OEP had failed (a) to maintain...more

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