Daily Archives: April 1, 2019, 9:34 am

SEC.gov | The Securities and Exchange Commission and the UK Financial Conduct Authority Sign Updated Supervisory Cooperation Arrangements

The Securities and Exchange Commission and the United Kingdom (UK) Financial Conduct Authority (FCA) have today reaffirmed their commitment to continue close cooperation and information sharing in the event of the UK’s withdrawal from the European Union (EU). via SEC.gov | The Securities and Exchange Commission and the UK Financial Conduct Authority Sign Updated Supervisory Cooperation Arrangements.

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Trading on Insider Guessing Just as Illegal as Insider Knowledge

The SEC and DOJ rarely bring cases involving insiders who trade on non-public information they have deduced, but Ying’s case demonstrates that the reach of insider trading laws are broader than what might be intuitive.  There is also an important lesson for employers.  Companies limit information internally for all sorts of reasons, such as containing reputational damage—but one reason is…

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