Insider trading has long been a staple of the Commission’s Enforcement program. Cooperation credit, while frequently touted and often discussed is not, at least in the form of a deferred prosecution agreement. Rather, the awarding of cooperation credit is typically …
Tag: cooperation
SEC Enforcement Division FAQs on its SCSD for Advisers
The SEC’s Division of Enforcement issued Frequently Asked Questions and Answers or FAQs for its Share Class Selection Disclosure Initiative or SCSD, initially announced in February 2018. The FAQs clarify and in part reiterate the terms of the initial SCSD …
SEC Enforcement Division FAQs on its SCSD for Advisers Read More »
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