Browsing: Compliance

Goldman Pays $22 Million to Settle ‘Huddles’

04/12/2012
Goldman Sachs agreed to pay $22 million to settle regulatory charges that its analysts shared confidential research with favored clients. The regulators alleged that Goldman analysts had weekly ...

JOBS Act Creates Stock Research Deja Vu

04/09/2012
New York, NY – Last week, President Obama signed into law the Jumpstart our Business Startups or JOBS Act.  This new law, which received bipartisan support from Congress, was written ...

More Hedge Funds Register Than Originally Expected

03/29/2012
Bloomberg reports that more hedge funds will register with the U.S. Securities and Exchange Commission than the SEC first predicted, expanding the reach of one of the most controversial requirements ...

STOCK Act Not to Limit Government Transparency

03/26/2012
New York, NY – Last week, the US Senate passed the House version of the Stop Trading on Congressional Knowledge (STOCK) Act in a 96-3 vote, thereby sending the final bill ...

New Developments in the “Duty of Trust and Confidence”

03/19/2012
New York, NY – To win an insider trading case, the prosecution needs to prove that the person who passed along the material non-public information breached a “duty of trust ...

SEBI Considers Regulating Independent Research

03/16/2012
The Securities and Exchange Board of India (Sebi) is considering extending regulations to cover independent research analysts according to a report by MSN India. Indian research analysts attached with ...

Government Tries to Restrict Early Wall Street Access of Data Releases

03/12/2012
New York, NY – Concerns about insider trading are not limited to hedge funds paying off corporate executives and consultants to provide material nonpublic information about public companies.  Now the ...

New Conflict Rules for Debt Research

03/08/2012
We are pleased to include below Fried Frank’s analysis of the new conflict rules for debt research recently proposed by FINRA, kindly provided by Linda Riefberg.  The biographies of the ...

Five More Years of Insider Trading Cases According to FBI

02/29/2012
FBI officials working on insider trading cases predict five more years of prosecutions.  The government is investigating 240 individuals for passing inside information, of which half are expected to become ...

Do We Need More Insider Trading Cases?

02/22/2012
How much is too much?  Voices in the media are beginning to challenge the seemingly interminable number of insider trading cases.   There are risks and opportunity costs to the ...
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