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Securities and Exchange Commission (SEC) › Material Nonpublic Information › Investment Management

Proskauer - The Capital Commitment

Regulatory Scrutiny on Potential MNPI in the Credit Markets

Proskauer - The Capital Commitment on

Over the past year, regulatory scrutiny of the credit markets has intensified, with the SEC investigating the potential use of material nonpublic information (“MNPI”) relating to credit instruments. The SEC brought a number...more

Herbert Smith Freehills Kramer

SEC Releases Risk Alert on Observations From Examinations of Investment Advisers Managing Private Funds

Herbert Smith Freehills Kramer on

On June 23, the SEC’s Office of Compliance Inspections and Examinations (OCIE) released a risk alert (the Risk Alert) that identified three general areas of deficiencies in regard to its examination of private fund advisers:...more

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