Timothy Silva

Timothy Silva

WilmerHale

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SEC Sanctions CLO Manager for Inadequate Polices to Prevent Nonpublic Information Misuse

On August 26, 2024, the Securities and Exchange Commission (SEC) announced an order against a registered investment adviser, Sound Point Capital Management, LP, for its failure to “establish, maintain, and enforce written...more

8/29/2024  /  Collateralized Loan Obligations , Compliance , Enforcement Actions , Insider Information , Investment Advisers Act of 1940 , Material Nonpublic Information , Policies and Procedures , Registered Investment Advisors , Securities and Exchange Commission (SEC)
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