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Latest News
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Podcast: Adria Perez and Kate Seikaly on civil and criminal trade compliance, False Claims Act, and tariff origin checks
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GRIP Extra: FINRA appoints new Board of Governors members, DOJ pushes for Powell prosecution
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Podcast: Christopher Wimmer on cross-border investments, critical minerals, and compliance in Canada
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- Industry
Compliance Program Rule
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SEC says Horter Investment failed to supervise adviser for misconduct
SEC says the (now convicted) adviser stole from clients, thanks to the firm and its CEO failing to reasonably supervise him.
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SEC cites Sound Point Capital Management for its handling of nonpublic info
The SEC said the fund adviser’s policies failed to consider the potential impact of material nonpublic information gained from serving as company lenders.