On behalf of Lewitas Hyman PC | May 30, 2014 | Financial News, Securities and Compliance
At the annual Compliance Week 2014, held last week, there was a general call for the SEC to provide the industry with better guidance regarding legal and compliance officers’ accountability for the misconduct of employees at their firms. To date, the current rules do...
On behalf of Lewitas Hyman PC | May 20, 2014 | Financial News, Securities and Compliance
Financial services firms should be aware that the SEC has recently stressed the importance of mutual fund fees and expenses disclosures, as well the impact they can have on an investor’s portfolio. In a recent Investor Bulletin, the SEC highlighted the fees and...
On behalf of Lewitas Hyman PC | May 10, 2014 | Financial News, Insider Trading
Chris Choi, a former Nvidia Corp. account manager recently settled with the SEC on insider trading charges. According to the SEC complaint, filed in the Southern District of New York, Mr. Choi tipped a friend with nonpublic information before the technology company’s...
