This course covers common risk assessment standards, processes, and methodologies, explaining how to define risk from anti-money laundering, cybercrime, and sanctions perspectives and how to build a successful risk assessment program for your institution.
Our Cyber Risk & Data Privacy Summit brings together industry experts to discuss best practices on managing cyber risks and share insights into the latest data privacy trends.
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Perceptive Advisors agreed to pay $1.5 million for allegedly steering clients toward special purpose acquisition companies (SPACs) its investment advisers had financial interests in and failing to disclose those conflicts in a timely fashion.
Perceptive agreed to be censured and cease and desist from future violations of investment and securities laws, the Securities and Exchange Commission (SEC) announced Tuesday. The firm neither admitted nor denied the agency’s findings.
In 2020, Perceptive created several SPACs incorporated in the Cayman Islands whose sponsor ownership and management linked back to certain Perceptive employees and a life sciences fund owned by the firm, the SEC detailed in its order. The company repeatedly invested the assets of the life sciences fund in transactions involving the SPACs.
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