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Expert Analysis

2 Investment Advice Rulings Offer Lessons On Insider Liability

By Renee Zaytsev and Philip Sineneng ( July 9, 2020, 6:11 PM EDT) -- In recent years, several claims have been filed against registered investment advisers seeking disgorgement of short-swing profits under Section 16(b) of the Securities Exchange Act, with many of these cases premised on the existence of an alleged group comprising the investment adviser and its clients....

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