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October 13, 2016

Posted  November 7, 2016

San Francisco-based hedge fund advisory firm Artis Capital Management will pay about $8.9 million to settle charges of failing to maintain adequate policies and procedures to prevent insider trading at the firm.  Artis failed to respond appropriately to red flags that should have alerted it to misconduct by employee Matthew Teeple.  Teeple’s supervisor, Michael W. Harden, will pay $130,000 and is suspended from the securities industry for 12 months for his role in the misconduct.  SEC

Tagged in: Insider Trading,