Page 4 - Ethics Rule News Today

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.

Division of Examinations of the SEC issued a Risk Alert highlighting notable deficiencies identified by EXAMS staff in its review of SEC-registered investment advisers relating to Section 204A Section 204A of the Investment Advisers Act of 1940 and Rule 204A-1 thereunder.

On April 26, 2022, the Division of Examinations (the “Division”) of the Securities and Exchange Commission issued a Risk Alert listing notable examples of deficiencies that its staff...

On April 26, 2022, the U.S. Securities and Exchange Commission’s (“SEC”) Division of Examinations (“EXAMS”) issued a risk alert concerning deficiencies related to Section 204A of the...

Section 204A requires investment advisers to establish, maintain and enforce written policies and procedures reasonably designed to prevent misuse of MNPI by advisers and their associated persons.

On April 26, 2022, the Division of Examinations (the “Division”) of the Securities and Exchange Commission issued a Risk Alert listing notable…

Not only did US private equity (PE) fundraising rebound in 2021, it was in many ways the most successful year for PE fundraising since the financial…

The decision comes about a month after activists gathered in City Hall to raise concerns about how Frey and police officials had responded to the death of 22-year-old Locke, whose killing in February reignited a national debate on the use of no-knock warrants and scrutiny of the mayor's track record on police accountability issues.

The decision comes about a month after activists gathered in City Hall to raise concerns about how Frey and police officials had responded to the death of 22-year-old Locke, whose killing in February reignited a national debate on the use of no-knock warrants and scrutiny of the mayor's track record on police accountability issues.

The decision comes about a month after activists gathered in City Hall to raise concerns about how Frey and police officials had responded to the death of 22-year-old Locke, whose killing in February reignited a national debate on the use of no-knock warrants and scrutiny of the mayor's track record on police accountability issues.