Risk
Financial Firm Head Indicted in Alleged Insider Trading Scheme
Jason Peltz is accused of using insider information and a relationship with a business reporter to reap a profit.
Tag: material non-public information
Risk
SEC Warns Private Equity Conflicts of Interest Can Harm Investors
Alert of higher fees charged comes as Department of Labor clears way for PE in 401(k)s.
Regulation
Ares Management to Pay $1 Million to Settle SEC Charges
SEC says private equity firm failed to enforce potential misuse of material nonpublic information.