Browsing: Compliance

The New Compliance Regime Challenges Analysts

10/25/2011
Most security analysts were trained in an era when ethical issues centered on conflicts.  Now the ethical focus has shifted to information control, which poses new challenges for the analytic ...

Raising the Bar for Compliance Best Practices

10/24/2011
New York, NY – Although not required by regulation, a growing number of U.S. investment advisers have decided over the past year to develop different types of programs to conduct ...

SAC and Leerink Swann Under SEC Investigation

10/20/2011
New York, NY – According to an article published by the Wall Street Journal this morning, hedge fund SAC Capital Advisors, and Boston-based investment bank Leerink Swann, are both under ...

The Stakes are Getting Higher for CCOs

10/17/2011
New York, NY – Chief Compliance Officers at broker-dealers and registered investment advisers have seen their jobs expand in scope as the Dodd-Frank Act has increased the number of regulations ...

Legal Insider Information

10/10/2011
New York, NY – Last week, The Wall Street Journal published an article about a former lobbyist who is paid handsomely by hedge funds to share information regarding significant governmental ...

SIFMA Sets Best Practices for Use of Expert Networks

10/03/2011
New York, NY – On September 29th, 2011 SIFMA released a set of “best practices” to provide guidance to its members on how they might engage expert networks and their ...

The Death of Mosaic Theory?

09/26/2011
The recently completed trial of James Fleishman, the salesperson for Primary Global Research (PGR), was a stretch case for the prosecution. Unlike previous Galleon-related trials it was difficult to ...

Fleishman Convicted, Jiau Sentenced

09/22/2011
James Fleishman, a salesperson for Primary Global Research (PGR), was convicted of conspiracy to commit securities fraud and conspiracy to commit wire fraud, while Winifred Jiau, an expert affiliated with ...

An Ounce of Due Diligence Prevention

09/20/2011
An ounce of due diligence prevention is worth pounds of sentencing cure, according to standards developed by the United States Sentencing Commission, the government agency which establishes federal sentencing guidelines.  ...

New Round of Insider Trading Charges Expected Soon

09/19/2011
New York, NY – According to Charlie Gasparino, senior correspondent for the FOX Business Network, a few of his sources explain that new charges might be imminent in the federal ...
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