Browsing: Regulatory

Insider Trading Charges Likely to Grow

12/05/2011
New York, NY – One year ago, U.S. federal authorities announced that its insider trading investigation, which had previously bagged Galleon Group co-founder Raj Rajaratnam, had expanded to buy-side analysts, ...

Fixed Income Insider Trading

11/29/2011
As we discussed yesterday, insider trading laws and enforcement actions are not confined to equity markets.  Although not widely recognized, there is precedent for both criminal and civil insider trading ...

Can Macro or Policy Research Spark Insider Trading?

11/28/2011
New York, NY – Last week, an article in the Wall Street Journal called Investors Bullish on Fed Tips raised the issue of institutional investors getting advanced notice of important ...

Longoria Sentenced

11/16/2011
The SEC announced yesterday that it had obtained a final judgement on Anthony Longoria, a former expert affiliated with Primary Global Research, which requires him to pay $197,000 in fines ...

The End of the Independent Era

11/14/2011
How did it come to this?  How is it that independent research, once the beneficiary of regulatory largesse, is now viewed with suspicion and concern?  A decade ago, being independent ...

Confidentially Speaking – Just As Much Hot Water As MNPI

11/07/2011
New York, NY – In the wake of the federal insider trading investigation, many institutional investors have reevaluated the kind of information they use in their research process.  Everyone agrees ...

The New Compliance Regime Challenges Analysts

10/25/2011
Most security analysts were trained in an era when ethical issues centered on conflicts.  Now the ethical focus has shifted to information control, which poses new challenges for the analytic ...

Raising the Bar for Compliance Best Practices

10/24/2011
New York, NY – Although not required by regulation, a growing number of U.S. investment advisers have decided over the past year to develop different types of programs to conduct ...

SAC and Leerink Swann Under SEC Investigation

10/20/2011
New York, NY – According to an article published by the Wall Street Journal this morning, hedge fund SAC Capital Advisors, and Boston-based investment bank Leerink Swann, are both under ...

The Stakes are Getting Higher for CCOs

10/17/2011
New York, NY – Chief Compliance Officers at broker-dealers and registered investment advisers have seen their jobs expand in scope as the Dodd-Frank Act has increased the number of regulations ...
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