PLI's inSecurities Podcast - Opening the Securities Enforcement Answer Book
PLI's inSecurities Podcast: A View From the Inside
Compliance Perspectives: Compliance Challenges in India
Nota Bene Episode 83: Fraud Enforcement and Policing COVID Relief: What Businesses Need to Know with Chuck Kreindler
COVID-19 Videocast Series – Episode 2: Conversations from Our Public Tech Company Virtual Situation Room
Podcast: Private Fund Regulatory Update: Post-U.S. Government Shutdown
Podcast: Credit Funds: What Managers Need to Know and Practical Tips to Avoid Insider Trading Risks
WORD OF THE DAY® – Big Boy Letter
The Insider Trading Cartoon Series, Vol. 15 -- United States v. Newman (Part 2)
The Insider Trading Cartoon Series, Vol. 13 -- The Barry Switzer Story
The Insider Trading Cartoon Series, Vol. 14 -- United States v. Newman (Part 1)
The Insider Trading Cartoon Series, Vol. XII -- The Innocent Intermediary
The Insider Trading Cartoon Series, Vol. XI -- Multi-level Tipping
The Insider Trading Cartoon Series, Vol. X -- Tipping (pre-Newman)
The Insider Trading Cartoon Series, Vol. VIII — Negligence?
The Insider Trading Cartoon Series Vol. VII -- Misappropriation Theory (Part the Third)
The Insider Trading Cartoon Series, Vol. V — Misappropriation Theory
Investment Management Update - January 2015
Insider Trading News - Ralph Siciliano discusses US v. Newman
Weekly Brief: Rakoff Orders Gupta To Pay Goldman Sachs' Legal Fees
Insider trading is a front-and-center issue for the SEC, and consequently must be for financial services firms as well. The SEC included misuse of material non-public information (MNPI) on its list of 2022 exam priorities for...more
On March 16, 2020, FinCEN advised Financial Institutions to be on the alert about fraudulent transactions and potential illicit behavior connected to Covid-19. FinCEN encouraged Financial Institutions to contact their...more
As expected, the Fed kept interest rates unchanged on Wednesday while also signaling that “they would wait to see how the economy fared before making another move”....more
CFTC Inspector General Strongly Criticizes Cost-Benefit Analysis Underlying Commission’s Rule Establishing Margin for Uncleared Swaps: The Office of Inspector General of the Commodity Futures Trading Commission said that the...more
Non-Member Tipper and Tippee Fined by CME Group for Insider-Trading Type Offenses; Two Member Firms Fined for Algo System Gone Wild - Two apparently related non-members of the Chicago Mercantile Exchange agreed to be...more
The insider trading trial of former SAC Capital official Matthew Martoma opened this week in Manhattan with jury selection. The SEC announced the resignation of George Canellos, Co-director of the Division of Enforcement....more