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Keywords: Compliance program
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Journal Articles
SEC requires hedge funds to prevent insider trading despite unsettled legal definition
Available to Purchase
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2017) 18 (1): 63–64.
Published: 02 May 2017
... LLP 2017 2016 Paul Hastings LLP Licensed re-use rights only US Compliance program Insider trading US Securities and Exchange Commission (SEC) Investment adviser Hedge fund On October 13, the US Securities and Exchange Commission (SEC) brought an enforcement action against Artis...
Journal Articles
The SEC turns up the heat on private equity expense allocations
Available to Purchase
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2016) 17 (2): 35–38.
Published: 04 July 2016
... Conflict of interest Compliance program Expense Allocation Private equity fund U.S. Securities and Exchange Commission (SEC) Overview: The Securities and Exchange Commission (“SEC”) has spent much of the last two years imposing large sanctions against Private Equity (“PE”) firms for disclosure...
