Browsing: Compliance

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 ...

Khuzami Remarks at SIFMA’s Compliance and Legal Society Annual Seminar

03/24/2011
New York – Yesterday, Robert Khuzami, Director of the SEC’s Division of Enforcement addressed the SIFMA Compliance and Legal Society Annual Seminar. Some of his remarks are excerpted below, especially ...

Do As I Say Not As I Do

03/22/2011
New York – When is inside information not illegal?  When U.S. lawmakers or their staff trade on nonpublic regulatory or legislative information.  Two House Democrats introduced legislation last week to ...

Are Compliance Policies Enough?

03/21/2011
New York, NY – In the 4th Quarter of 2009, Integrity Research conducted an extensive analysis of the global expert network industry, along with a review of the compliance policies ...

Compliance and Best Practices

03/15/2011
New York – A recent ‘how-to’ book by a sell side equity analyst provides insights on what makes a good analyst.  First on author James Valentine’s list is to ‘identify ...

Guidepoint mentioned in latest insider trading complaint

03/10/2011
New York – A new wrinkle in the ongoing insider trading investigation emerged today as Massachusetts officials accused James Silverman of acting on information he received from Guidepoint Global, an ...

SEC Charges Former Dewey Associate with Insider Trading

03/09/2011
New York, NY – Earlier this week, the Securities and Exchange Commission charged former Dewey & LeBoeuf associate, Todd Leslie Treadway, with insider trading.  This new case marks the fourth ...

Feds Agree Expert Networks OK

02/28/2011
New York, NY – Over the past few months, as US Federal Authorities have continued one of the largest insider trading investigations in history, many institutional investors have become increasingly ...
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