Browsing: Compliance

Diamondback Capital and PM Settles Case with SEC

09/07/2011
New York, NY – Last week, Anthony Scolaro, a former portfolio manager with Stamford, Connecticut-based hedge fund, Diamondback Capital Management, settled his insider-trading case with the U.S. Securities and Exchange ...

Policies and Procedures Are Not Enough – Insider Trading Investigations Continued

08/31/2011
New York – Having written internal procedures in place is not enough protection against insider trading allegations – you also need to implement them.  In a case published this month, ...

Another Guilty Plea and a New Arrest

08/16/2011
A former portfolio manager for FrontPoint Partners pleaded guilty yesterday to insider trading, and Federal prosecutors resumed their insider trading indictments with the arrest of a former accountant at Marvell ...

MNPI Not Only Risk for Buy-Side

08/15/2011
New York, NY – In the past nine months, many buy-side investors have been focused on trying to identify and mitigate the risk of receiving either material nonpublic information or ...

Massachusetts Regulates Expert Networks

08/09/2011
Massachusetts adopted a new regulation requiring investment advisers using expert network firms to obtain certifications that consultants won’t supply any confidential information as part of their service. The certification must ...

A (Bearish) Look at Increased Corporate Insider Trading

08/03/2011
New York- This week the news reported that “corporate insiders are selling their companies’ shares at an abnormally fast pace”.  Some independent research on this irregular activity can be precious. Last ...

Longueuil Gets 2.5 Years

08/02/2011
Donald Longueuil, a former hedge-fund manager at SAC Capital Advisors, was sentenced to 2.5 years in prison Friday after pleading guilty to insider-trading charges.  Although not a direct client of ...

Buy-Side Compliance Response to Research Providers

08/01/2011
New York, NY – Over the past few months, buy-side investors have responded in a number of ways to address concerns that the external research providers they use might introduce ...

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 ...
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