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Securities Regulation › MNPI › Investment Firms

Lowenstein Sandler LLP

Key Considerations for Alternative Data and AI Vendors to Investment Firms: Demonstrating Compliance in the Face of an Evolving...

Lowenstein Sandler LLP on

The Securities and Exchange Commission (SEC) has previously provided guidance through risk alerts, proposed rules, and enforcement actions that outline expectations for registered investment advisers and other financial firms...more

SEC Compliance Consultants, Inc. (SEC³)

A September Surprise: SEC Finds Gaps in MNPI Controls for CLO Manager

SEC Compliance Consultants, Inc. (SEC³) on

In the SEC’s burst of settlements at the end of its fiscal year, one case about the potential misuse of material nonpublic inside information (“MNPI”) shows just how far down in the weeds it is willing to go to prevent...more

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