Browsing: Compliance

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 ...

Dirks v. SEC

04/26/2011
New York – The current definitions of insider trading owe much to a U.S. Supreme Court decision which capped a battle between Raymond L. Dirks and the Securities and Exchange ...

Massachusetts Looks to Regulate Expert Networks

04/25/2011
New York, NY – Last week, Massachusetts became the first state in the country to propose rules to regulate the expert network industry.  While such a move appears to be ...

SEC Sweeps Alpha Capture Platforms

04/19/2011
New York – The U.S. Securities and Exchange Commission has conducted a series of ‘sweeps’ focusing on ‘alpha capture’ platforms, according to a panelist at the recent Investorside Members’ Day ...

Galleon Defense Strategy a Puzzling Mosaic

04/18/2011
New York, NY – As the insider trading case against Galleon founder Raj Rajaratnam comes to an end, we look back on the case and scratch our heads about the ...

Insider trading charge No. 47 (and counting)

04/15/2011
Joseph Skowron, an ex portfolio manager at FronPoint Partners, surrendered to the FBI on Wednesday after being charged with insider trading. Allegedly, Skowron sold his stakes in a drug company ...

Crooks, Not Hedge Funds in Fed’s Cross Hairs

04/11/2011
NYC, NY – Last week the FBI arrested Matthew Kluger, a former attorney at Wilson Sonsini Goodrich and Rosati; and Garrett Bauer, a stock trader in an alleged insider trading scheme ...

Your friendly neighborhood SEC

03/31/2011
New York – Briefly mentioned in yesterday’s article was the fact that the SEC has recently charged a chemist working for the FDA with insider trading.  The suit alleges that ...

Integrity Research Associates Launches Compliance Service

03/28/2011
New capability provides due diligence on compliance policies and practices of investment research firms New York – Integrity Research Associates LLC announced today a new offering to help asset managers assess ...
1 57 58 59 60 61 62