Monthly Regulatory Summary As the regulatory landscape is constantly evolving, Compliance Risk Concepts (“CRC”) is […]
Whether you are a small-town doctor or a powerful hedge fund manager - the SEC doesn’t discriminate! If you are abusing your fiduciary duty and use material, non-public information to trade securities - you will be caught and you will be charged with insider trading.
Combat insider trading within your firm by learning the right questions to ask and developing the right internal controls and processes to mitigate this risk.
Enter your information below to download your complimentary copy of What You Need To Know About Material Non-Public Information (MNPI) by Lilian Colpas.