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SEC Enforcement Action Highlights Private Credit and MNPI Risks

August 28, 2024

The U.S. Securities and Exchange Commission ("SEC") issued an order on Monday instituting administrative and cease-and-desist proceedings against a registered investment adviser ("RIA") for failing to establish, maintain, and enforce policies and procedures to prevent the misuse of material nonpublic information ("MNPI") concerning the RIA's trading of collateralized loan obligations.

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