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Thomas Fox - Compliance Evangelist

Daily Compliance News: July 11, 2025, The What is a COI Edition

Thomas Fox - Compliance Evangelist on

Welcome to the Daily Compliance News. Each day, Tom Fox, the Voice of Compliance, brings you compliance-related stories to start your day. Sit back, enjoy a cup of morning coffee, and listen in to the Daily Compliance News....more

Lowenstein Sandler LLP

SEC Settlement Reflects Continued Scrutiny Regarding MNPI, Advertisements and Investor Communications

Lowenstein Sandler LLP on

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 found that OEP had failed (a) to maintain...more

Tucker Arensberg, P.C.

Can I Share This? Court Highlights Importance of Defining Representatives in Private Equity NDA

Tucker Arensberg, P.C. on

A recent case highlights the importance of properly defining the representatives with whom confidential information can be shared in the context of a private equity non-disclosure agreement (NDA)....more

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