Modern Diligence Blog

We're proud to announce that we are launching Expert Networks, the first of a suite of tools we are developing to help compliance officers manage an increasingly difficult regulatory environment combined with a proliferation of electronic records

In April 2022, the SEC’s Division of Examinations (“EXAMS”) published a risk alert related to concerns around misuse of material non-public information (“MNPI”) by investment advisers. We discuss the three areas flagged by the agency as notable deficiencies