Browsing: Compliance

Another Insider Trading Conviction

08/21/2012
Hedge fund manager Doug Whitman became the latest person convicted of insider trading despite a vigorous defense.  Whitman decided to testify in his own defense, the first in the current ...

Are Small Research Firms Tainted?

08/07/2012
The final image of the mercurial John Kinnucan, sole proprietor of Broadband Research LLC, is one of pathos: a broke and broken man, defended by a court-appointed attorney, pleading guilty ...

Delay for Insider Trading Disclosure Possible

08/06/2012
New York, NY – Despite the requirement in the STOCK Act that employees of the legislative and executive branches of the US government disclose any financial transactions greater than $1,000, ...

Novel Defense for Insider Trading

07/31/2012
Raj Rajaratnam tried using the mosaic theory and lost.  Now, another hedge fund manager will try a different defense: seeking out non-public information is beneficial and should be encouraged, not ...

Selective Disclosure: Are Trade Ideas Research?

07/30/2012
New York, NY – In the past few weeks, both The Wall Street Journal and New York Times have published articles discussing various instances where Wall Street stock research may ...

Insider Trading Remains Key Issue For Investors

07/24/2012
Insider trading and social media use by employees are the top compliance concerns among SEC-registered investment advisers according to a recent survey. Nearly three quarters (74%) of RIAs surveyed are conducting ...

STOCK ACT Insider Trading Loophole for Spouses and Family

07/23/2012
New York, NY – Last week, CNN uncovered a loophole in the recently passed STOCK Act which allows the spouses and children of legislative and executive branch employees to potentially ...

Insider Trading Enforcements Continue

07/17/2012
The Securities and Exchange Commission charged five physicians last week with insider trading in the securities of  a medical professional liability insurer.  As law firm Gibson Dunn ...

Regulatory Enforcement Creates Little Deterrence for Wall Street

07/16/2012
New York, NY – According to a survey released last week, many on Wall Street believe that securities regulators in the US and UK are not particularly effective in investigating ...

A U.S. Libor Scandal?

07/09/2012
The Libor scandal has not generated the amount of interest in the U.S. as it has in the U.K. and Europe.  And yet it may presage similar investigations closer to ...
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