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Archive for April, 2024

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SEC Charges Investment Adviser with Recordkeeping Failures Related to “Off Channel” Communications

On April 3, 2024, the U.S. Securities and Exchange Commission (“SEC”) announced charges against Senvest Management LLC (“Senvest”), a registered…

“Shadow” Insider Trading – SEC Wins Jury Trial in Closely Watched Insider Trading Case

Last week the SEC notched a win in its first “shadow” insider trading case when a jury returned a verdict…