Compliance: The Securities and Exchange Commission has levied charges in it’s first ever “shadow trading” case, and Bill Myers reports that, in the act, the commission may be trying to expand the definition of material non-public information in a way that should make compliance teams take note.
Insights survey: The deadline for taking our annual Insights survey is fast approaching – so take it today! We greatly value your input, which is confidential. Final deadline is September 17.
Email prepared by Graham Bippart