The U.S. Securities and Exchange Commission recently issued a risk alert warning investment advisers of common deficiencies related to their firms' ethics codes and the handling of material non-public information. According to Thomson Reuters Senior Regulatory Intelligence Expert Todd Ehert, the warning is a strong reminder that proper handling and safeguards of material non-public information (MNPI) is a core compliance responsibility for all advisers that should not be overlooked.
- Products
- Solutions
- Compliance Oversight
- Communications Compliance
- Market Abuse Regulation
- ESG Compliance
- Senior Managers Certification Regime
- Conduct Risk
- Control Room Compliance
- Pay-to-Play Compliance
- Conflict of Interest Management
- Crypto Compliance
- Small Firm Compliance
- Corporate Compliance
- Anti-Bribery and Corruption
- Compliance Program Management
- Education Center
- About Us
