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Former Goldman compliance employee settles SEC insider trading case

Jaclyn Jaeger | March 22, 2016

A former Goldman Sachs compliance employee settled his case with the Securities and Exchange Commission to resolve insider trading charges filed against him last year. Judge Valerie Caproni of the U.S. District Court for the Southern District of New York last week entered a final judgment against defendant Yue Han, who worked as an associate in Goldman Sachs’ compliance department.

As Compliance Week previously reported, the SEC brought insider trading charges against Han in November 2015 over allegations that he traded on confidential information contained in e-mails sent and received by Goldman Sachs’ employees...

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