Browsing: Compliance

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 ...

PGR-Related Sentencing Begins

07/19/2011
The sentencing of insider trading cases involving Primary Global Research (PGR) has begun.  Daniel DeVore, an expert affiliated with PGR who cooperated with prosecutors was sentenced to disgorge the payments ...

SEC Fines Janney for Compliance Violations

07/18/2011
New York, NY – Last week, the Security and Exchange Commission settled charges with Philadelphia-based investment bank, Janney Montgomery Scott, for failing to establish and enforce policies preventing the potential ...

Tap baby tap

07/14/2011
New York – A court filing revealed that the techniques used by the US government to uncover the intricacies of the relationships between hedge-fund managers and expert networks included secret ...
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