SEC Finds Deficiencies in Investment Advisor MNPI Compliance
In a Risk Alert the staff of the Division of Examinations of the Securities and Exchange Commission SEC described notable deficiencies relating to investment advisers’ use of material non-public information MNPI stemming from Section 204A of Investment Advisers Act of 1940.
Procedures Related To Expert Networks Exchange Commission Risk Alert Investment Advisers Act Advisers Act Ethics Rule
Source: natlawreview.com