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The weekly news source for investment management legal and compliance professionals

News June 5, 2017 Issue

Cooperman Settles Insider Trading Charges for $5 Million and Onsite Monitoring

Donít let anyone tell you that the SEC isnít pursuing insider trading cases in the wake of some reversals the agency experienced in the past couple of years. The rules governing such enforcement actions may have tightened, but they continue to be brought. One just resulted in significant penalties against an advisory firm owner and his firm.

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