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SEC's Division of Examinations Issues Risk Alert Regarding MNPI-Related Compliance Issues for Investment Advisers | Shearman & Sterling LLP

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. ....

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SEC's Division Of Examinations Issues Risk Alert Regarding MNPI-Related Compliance Issues For Investment Advisers - Securities

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. ....

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SEC's division of examinations issues risk alert regarding mnpi-related compliance issues for investment advisers

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

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