SEC Department of Examinations Issues Risk Alert on Marketing Rule Deficiencies | Paul Hastings LLP jdsupra.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from jdsupra.com Daily Mail and Mail on Sunday newspapers.
On April 5, 2024, a federal jury in the Northern District of California found defendant Matthew Panuwat liable for insider trading in the Securities and Exchange Commission’s (“SEC”).
SEC warns industry against marketing rule pitfalls investmentnews.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from investmentnews.com Daily Mail and Mail on Sunday newspapers.
At Optima, Ms. Foldenauer will focus on the regulatory and compliance needs of hedge funds, private equity funds, registered investment advisers, broker-dealers, and global financial services firms.