Browsing: Blog

ETFs and the Alphabet Soup Topped with Independent Research

07/27/2011
New York – A few weeks ago, an article in The Economist titled Too Much of a Good Thing expressed concern about exchange-traded funds or ETFs. Independent research on ETFs ...

Pressure on Hedge Funds Transforms Research

07/26/2011
A recent article by a prominent fund of hedge funds illustrates the external research requirements that hedge fund investors are demanding from hedge funds.  The standards apply broadly to all ...

MNPI Fears Harm Sector Specialists and Others

07/25/2011
New York, NY – Over the past eight months, institutional investors have reigned in their use of many primary research providers for fear of introducing “material nonpublic information” into their ...

ConvergEx to be Acquired by CVC Capital Partners

07/21/2011
New York – ConvergEx Group, a provider of proprietary software and technology-enabled services to financial institutions, announced yesterday its agreement to be acquired by funds advised by CVC Capital Partners, ...

Sino-Forest Part 3: Downgraded only to see investors come its way

07/20/2011
New York – Despite Moody’s downgrade to B1, Sino-Forest’s stock has an avid buyer in Richard Chandler’s Mandolin Fund. A report published in June by short seller Muddy Waters caused the ...

PGR-Related Sentencing Begins

07/19/2011
The sentencing of insider trading cases involving Primary Global Research (PGR) has begun.  Daniel DeVore, an expert affiliated with PGR who cooperated with prosecutors was sentenced to disgorge the payments ...

SEC Fines Janney for Compliance Violations

07/18/2011
New York, NY – Last week, the Security and Exchange Commission settled charges with Philadelphia-based investment bank, Janney Montgomery Scott, for failing to establish and enforce policies preventing the potential ...

Tap baby tap

07/14/2011
New York – A court filing revealed that the techniques used by the US government to uncover the intricacies of the relationships between hedge-fund managers and expert networks included secret ...

Kinnucan, Kinnucannot

07/12/2011
John Kinnucan, founder of Broadband Research, is making headlines again, and this is not bullish for independent research providers. Kinnucan was recently cited as having received inside information during the ...

SEC “Kicks the Can Down the Road” with Hedge Fund Registration

07/11/2011
New York, NY – A few weeks ago, the Securities and Exchange Commission finalized rules requiring registration of most hedge fund managers with either their state or the SEC.  The ...
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