SEC
Whistleblower
Attorneys

August 21, 2017

Deerfield Management Company L.P.

Trading and Pricing

SANCTION AMOUNT: $4757962

Defendants: Deerfield Management Company L.P.

Respondent settled charges that it failed to establish, maintain, and enforce policies and procedures reasonably designed to prevent the misuse of inside information, including information about confidential government decisions. Certain of its current and former analysts had allegedly traded on material, nonpublic information obtained from a political intelligence analyst.

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