Your firm is notified that the SEC is coming. It spends weeks reviewing all policies and procedures and participating in a mock SEC exam, to help the registrants’ employees prepare. But what other steps should be taken to help achieve … Read More
Not even the world’s fourth-largest company by market capitalization is immune to the hazards of employee insider trading.
On September 28, 2020, the Securities and Exchange Commission Exchange Commission charged a former senior manager in Amazon.com Inc.’s tax department and two of her family members with insider trading for a scheme that lasted 2 ½ years.
The Securities and Exchange Commission (“SEC”) charged 23-year-old junior analyst Bill Tsai at an international investment bank with insider trading.
The outcome of a recent jury trial in Manhattan has underscored the importance of the Securities and Exchange Commission’s new Regulation Best Interest and the Commission’s ongoing commitment to enforcing the standard of investment suitability for retail clients.
Michelle L. Jacko presented on Compliance Surveillance for Trading and Best Execution for the Core Compliance & Legal Services (Core Compliance) Webinar on February 17, 2015.… Read More
Michelle L. Jacko presented on Trading Practices and Challenges of Investment Advisers for Ascendant on April 1, 2014 in Savannah, GA.… Read More
Michelle L. Jacko presented on Insider Trading Concerns Should Still Keep You Up at Night at the Ascendant Compliance Conference on September 19-21, 2012 in Scottsdale, AZ.… Read More
The Securities and Exchange Commission (SEC) announced it had settled charges against Brian Fettner, a Nevada resident, who illegally obtained and later made trades based on sensitive “insider” information he discovered while staying at the residence of a long-time…
In an ideal world, companies would be able to trust their employees one-hundred percent. However, there are those who take advantage of their position within an organization to perform illegal activities. Unfortunately, that was the case with Expedia’s Jonathan…
Last week the SEC announced insider trading charges including pro-golfer Phil Mickelson. Mickelson agreed to pay back more than $1 million he earned from an insider stock tip from William “Billy” Walters, a famous sports gambler. As a result…