Browsing: Blog

ESG 2.0

03/25/2011
ESG 2.0 While the responsible investing community boosts its efforts to improved reporting and engagement from regulators, SolAbility, a sustainability consulting firm based in South Korea, takes issue with reporting- and ...

Khuzami Remarks at SIFMA’s Compliance and Legal Society Annual Seminar

03/24/2011
New York – Yesterday, Robert Khuzami, Director of the SEC’s Division of Enforcement addressed the SIFMA Compliance and Legal Society Annual Seminar. Some of his remarks are excerpted below, especially ...

Do As I Say Not As I Do

03/22/2011
New York – When is inside information not illegal?  When U.S. lawmakers or their staff trade on nonpublic regulatory or legislative information.  Two House Democrats introduced legislation last week to ...

Are Compliance Policies Enough?

03/21/2011
New York, NY – In the 4th Quarter of 2009, Integrity Research conducted an extensive analysis of the global expert network industry, along with a review of the compliance policies ...

youDevise’s Expanding (First) Coverage

03/18/2011
New York – youDevise Ltd. Of London and First Coverage of Boston recently announced that they would combine their firms to form one entity which will operate under the youDevise ...

Ten Things to Know about Responsible Investment and Performance

03/17/2011
New York – Today, GovernanceMetrics International (GMI), a provider of corporate governance and ESG research globally, released a report on the relationship between responsible investments and performance. For this report, ...

Compliance and Best Practices

03/15/2011
New York – A recent ‘how-to’ book by a sell side equity analyst provides insights on what makes a good analyst.  First on author James Valentine’s list is to ‘identify ...

CSA Use Grows on Buy-Side

03/14/2011
New York, NY – According to a report recently published by Boston-based consulting firm the Tabb Group, three-quarters of all US buy-side firms currently use commission sharing agreements.  In addition, ...

Ned Davis Research Announces New Equity Rating Models

03/11/2011
Ned Davis Research, Inc. has developed new models to generate its approximately 1,400 individual stock ratings, formerly known as the Individual Stock Perspective ratings. The new NDR Equity Rating (Buy, ...

Guidepoint mentioned in latest insider trading complaint

03/10/2011
New York – A new wrinkle in the ongoing insider trading investigation emerged today as Massachusetts officials accused James Silverman of acting on information he received from Guidepoint Global, an ...
1 87 88 89 90 91 95