Browsing: Compliance

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 ...

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 ...
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