Compliance Archives - Page 5 of 5

SEC Expands Insider Trading Scope by Prevailing in “Shadow Trading” Case – April 9, 2024

On April 5, 2024, a jury in federal court in California found a pharmaceutical executive [...]

SEC Fines Hedge Fund Manager $6.5 Million for Electronic Communications Violations – April 4, 2024

On April 3, 2024, the SEC took a notable enforcement action against Senvest Management, LLC, [...]

Private Markets Fund Managers – Effective SEC Exam Preparation Strategies

It is one of the questions we are often asked at Salus GRC, and one [...]

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Category Archives: Compliance

SEC Expands Insider Trading Scope by Prevailing in “Shadow Trading” Case – April 9, 2024

SEC Fines Hedge Fund Manager $6.5 Million for Electronic Communications Violations – April 4, 2024

Private Markets Fund Managers – Effective SEC Exam Preparation Strategies