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Browse: Home / 2012 / April / 12 / SEC Dings Goldman for Inadequate Policies Governing Research ‘Huddles’

SEC Dings Goldman for Inadequate Policies Governing Research ‘Huddles’

By Securities Docket on April 12, 2012, 7:06 pm

Today, the SEC filed a settled administrative proceeding against Goldman Sachs alleging that the firm lacked adequate policies and procedures to address the risk that the firm’s analysts were sharing material, nonpublic information about upcoming research changes in weekly “huddles.”

via SEC Dings Goldman for Inadequate Policies Governing Research ‘Huddles’ – Compliance Week

Posted in SEC, Top | Tagged APs, Policies, Settlements

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