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Confidential Information › Insider Trading › Policies and Procedures

Seward & Kissel LLP

SEC Voluntarily Dismisses Action against Hedge Fund Manager over Safeguarding Confidential Information while Participating on...

Seward & Kissel LLP on

On April 7, 2024, the United States District Court for the District of Connecticut approved the Securities and Exchange Commission’s request to dismiss its action against a hedge fund manager for the manager’s alleged failure...more

Foley Hoag LLP

SEC Division of Enforcement Warns of COVID19 Insider Trading Risks

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On March 23, the SEC Division of Enforcement (Enforcement) issued a public statement bluntly warning issuers and insiders connected to them, along with broker-dealers and investment advisers, about the unique risks of insider...more

Jones Day

CFTC Announces Insider Trading Task Force and New Insider Trading Case

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Commodity brokerage firms need to be vigilant as the CFTC signals increased policing and prosecution of insider trading. The Commodity Futures Trading Commission ("CFTC") filed a complaint on September 28, 2018, in the...more

Morrison & Foerster LLP

SEC Charges Broker-Dealer for Failure to Protect Against Insider Trading by Employees

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The Securities and Exchange Commission for the first time brought charges against a broker-dealer for failure to adequately protect against insider trading by its employees. The charges stem from a broker’s use of a...more

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