Browsing: Regulatory

Sri Lanka Contemplates Independent Research

06/29/2012
Sri Lanka’s Securities and Exchange Commission issued a concept release outlining plans to fund independent research and to grade initial public offerings through a rating agency. The SEC said ...

Another Independent Charged With Insider Trading

06/27/2012
Tai Nguyen, a former sell-side technology analyst who ran his own independent equity research firm, Insight Research, pleaded guilty to insider trading based on charges brought by federal prosecutors and ...

Defining Political Intelligence – Part 2

06/25/2012
New York, NY – Two weeks ago we wrote the first in a series of articles on the political intelligence industry (click here to access) which resulted from a breakfast ...

A New PGR Guilty Plea

06/20/2012
In a sign that prosecutors are not done with malfeasance at the former expert network Primary Global Research, a former expert affiliated with the firm pleaded guilty to sharing inside ...

China Cracks Down on Insider Trading

06/19/2012
China is joining the list of countries cracking down on insider trading.  The Supreme People’s Court (SPC), the highest court in the People’s Republic of China, and Supreme People’s Procuratorate ...

Gupta Found Guilty of Insider Trading

06/18/2012
New York, NY – Last Friday, Rajat Gupta, former head of McKinsey & Co. and a former director at Goldman Sachs and Proctor & Gamble Co., was convicted on four ...

Defining Political Intelligence – Part 1

06/11/2012
New York, NY – Last week in Washington DC, First Street and Women in Government Relations, Inc. co-sponsored a breakfast and panel discussion called Defining Political Intelligence. This event was meant ...

Defining Political Intelligence

05/31/2012
New York, NY – Next week on Wednesday, June 6th, First Street, a CQ Press service, and Women in Government Relations, Inc. will be co-sponsoring a networking breakfast and panel ...

JP Morgan Cited in Japanese Insider Trading Probe

05/30/2012
If JP Morgan Chase didn’t have enough problems, it is reportedly involved in an insider trading probe in Japan.  Yesterday the U.S. broker dealer was identified as the source of ...

Selective Disclosure in Facebook IPO?

05/29/2012
New York, NY – Last week, a number of state and federal regulators announced that they plan to investigate the IPO of Facebook shares.  In addition, numerous lawsuits have been ...
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