Browsing: Compliance

PGR Closes Offices

06/01/2011
New York – The NYTimes Dealbook reports that Primary Global Research has closed its offices, but says it is still open for business: The government’s widespread crackdown on insider trading on ...

Meeting the Regulators

05/31/2011
New York – Meetings with various staff at the Securities and Exchange Commission (SEC) last week indicated that research remains an important topic on the regulatory agenda despite the challenges ...

CFA Institute, um, Supports Expert Networks (kind of)

05/24/2011
New York – A recent blog on the CFA Institute website discusses the reputational risk of using expert networks, while providing strong support for mosaic theory and more equivocal support ...

Senator Jumps Aboard Insider Trading Bandwagon

05/23/2011
New York, NY – According to the Wall Street Journal, Iowa Senator Charles Grassley, the top Republican on the Senate Judiciary Committee, has recently started an investigation into potential insider ...

Consolidating Expert Networks

05/17/2011
New York – The downsizing of the expert network industry has begun.  Business Connect China, a China-based expert network, is merging with Circle of Experts and Tribeca Insights to form ...

Expert Networks Not Out of the Woods Yet

05/16/2011
New York, NY – Last week Galleon Group founder Raj Rajaratnam was found guilty on all 14 counts against him for insider trading.  Immediately, many journalists concluded that this outcome ...

Galleon Verdict: Implications for Independent Research

05/11/2011
New York – Raj Rajaratnam, the co-founder of Galleon Group LLC, was found guilty of 14 counts today: A jury of eight women and four men in Manhattan returned its verdict ...

Are Channel Checks Legit?

05/09/2011
New York, NY – Last November, buy-side analysts were shocked as the growing insider trading investigation seemed to call into question their use of expert networks and channel checks.  In ...

Mopping Up the Expert Network Cases

05/03/2011
New York – Now that the Rajaratnam trial has gone to jury deliberation, prosecutors are turning their attention to other outstanding insider trading cases.  Of the fourteen individuals charged in ...

Insider Trading Continued (and to be continued)

04/28/2011
New York – Developments don’t stop in the insider-trading cases started by Preet Bharara, U.S Attorney for the Southern District of New York. Today, Don Ching Trang Chu, an expert consultant ...
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