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SEC Settlement Reflects Continued Scrutiny Regarding MNPI, Advertisements and Investor Communications | Lowenstein Sandler LLP

On December 26, 2023, the U.S. Securities and Exchange Commission (SEC) announced a settlement with a registered investment adviser, OEP Capital Advisors, L.P. (OEP). The settlement...

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Spotlight to Get Brighter on Private Fund Advisers for SEC Exams in 2022 | Goodwin

On March 30, 2022, the Division of Examinations (“EXAMS”) of the U.S. Securities and Exchange Commission (the “SEC”) placed private funds at the top of its examination priorities for...

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Sympathy Trading–SEC Seeks To Expand Insider Trading Liability | Lowenstein Sandler LLP

Sympathy Trading–SEC Seeks To Expand Insider Trading Liability | Lowenstein Sandler LLP
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