In a letter to all FINRA member firms (the “FINRA Priorities Letter”), FINRA set forth its regulatory and examination priorities for 2014, highlighting significant risks and issues that could adversely affect investors and market integrity in the coming year. FINRA’s … Continued
Mathew Martoma attended hedge fund SAC Capital Advisors LP’s annual compliance training sessions two years in a row, an officer with the firm said, testimony that could bolster the insider-trading case against the former portfolio manager, according to the Wall Street … Continued
Dear Compliance Professional, The Securities and Exchange Commission today announced its examination priorities for 2014, which cover a wide range of issues at financial institutions, including investment advisers and investment companies, broker-dealers, clearing agencies, exchanges and other self-regulatory organizations, hedge … Continued