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SEC Settlement Reflects Continued Scrutiny Regarding MNPI, Advertisements And Investor Communications -

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).

Fund-risk , Procedures-related , Relevant-compliance-policies , Unreviewed-advertisements , Enforce-its-compliance , Investment-advisers-act , Mondaq , Sec-settlement-reflects-continued-scrutiny-regarding-mnpi , Dvertisements-and-investor-communications , Compliance , Corporate-commercial-law

When Two Worlds Collide: Navigating Conflicts Between An Employee's Personal Beliefs And The Mission Or Values Of Your Business - Employee Rights/ Labour Relations

Given the current state of affairs in this country and the upcoming 2024 presidential election, there is no short supply of hot button issues that may come up in conversation in the workplace.

Colorado , United-states , New-york , California , A-hypothetical-organization , Unbeknownst-to-organization , Employment-group , Practices-to-find-mission , Hypothetical-organization , Find-mission-driven , Action-related

When Two Worlds Collide: Navigating Conflicts Between an Employee's Personal Beliefs and the Mission or Values of Your Business | Venable LLP

Given the current state of affairs in this country and the upcoming 2024 presidential election, there is no short supply of hot button issues that may come up in conversation in the...

California , United-states , Colorado , New-york , National-labor-relations-act , Practices-to-find-mission , Unbeknownst-to-organization , A-hypothetical-organization , Hypothetical-organization , Find-mission-driven , Action-related

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...

Jeremy-cantor , Lowenstein-sandler , Scott-moss , Lowenstein-sandler-investment-management-group , Fund-regulatory-compliance-group , Fund-risk-alert , Investment-management-group , Exchange-commission , Procedures-related , Relevant-compliance-policies , Unreviewed-advertisements , Claims-based

Barrasso Calls on DOE Inspector General to Investigate Favoritism in Loan Programs Office Grant Process

Barrasso Calls on DOE Inspector General to Investigate Favoritism in Loan Programs Office Grant Process
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Department-of-energy , District-of-columbia , United-states , Washington , Andrea-luecke , Jigar-shah , Anne-slaughter-andrew , Teril-donaldson , John-barrasso , Catherine-mclean , Office-of-inspector , Senate-committee-on-energy

FRA Releases Supplemental Advisory Related to Hot Bearing Wayside Detectors

FRA Releases Supplemental Advisory Related to Hot Bearing Wayside Detectors
railwayage.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from railwayage.com Daily Mail and Mail on Sunday newspapers.

Railroad-administration , Supplemental-advisory-related , Hot-bearing-wayside-detectors-written , Federal-railroad-administration , Safety-advisory , New-castle , Procedures-related , Hot-bearing-wayside-detectors ,

SEC Division of Examinations Publishes Risk Alert Providing Observations from Broker-Dealer Examinations Related to Regulation Best Interest | Dechert LLP

The Securities and Exchange Commission’s Division of Examinations (Division) issued a Risk Alert (Risk Alert) on January 30, 2023 highlighting deficiencies its Staff observed during...

Dechert-onpoint , Office-of-compliance-inspections , Division-of-examinations , Division-of-examinations-dec , Exchange-commission-division-of-examinations , Exchange-commission , Risk-alert , Regulation-best , Regulation-best-interest , Best-interest , Disclosure-obligation , Care-obligation

The 65-Degree Question - Railway Age

The 65-Degree Question - Railway Age
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Ohio , United-states , East-palestine , America , American , Williamc-vantuono , Norfolk-southern , Association-of-american-railroads , National-transportation-safety-board , Railway-age , Degree-question-written

Tax Legislation – Ministry of Finance – United Arab Emirates

Tax Legislation – Ministry of Finance – United Arab Emirates
mof.gov.ae - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from mof.gov.ae Daily Mail and Mail on Sunday newspapers.

Administrative-penalties , Procedures-related , Distinctive-marks , Excise-goods , Arabic-only ,

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 , Procedures-related , Obtain-required-pre-approval , Personal-securities-transactions , Holdings-reports , Client-alert