Browsing: Regulatory

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 ...

A New Insider Trading Case

05/22/2012
It isn’t just hedge funds.  A former mutual fund manager at RiverSource Investments (now Columbia Management), a subsidiary of Ameriprise Financial Inc.,  and a former Yahoo! Inc. executive pleaded guilty ...

At the Low End of Insider Trading

05/11/2012
Stanley Ng, a former Marvell Technology Group Ltd. accountant, was sentenced to two years’ probation for his role in an insider-trading scheme involving the failed expert network Primary Global Research ...

Outsourcing Compliance

05/08/2012
Recent sanctions by FINRA highlight risks associated with outsourcing compliance.  However, outsourcing compliance functions makes sense for some firms, provided it is done conscientiously. The principal of a small broker dealer ...

4th Goldman Employee Under Investigation for Insider Trading

04/23/2012
New York, NY – Last week, Rajat Gupta’s lead attorney in his insider trading investigation said federal prosecutors informed him they were investigating an unnamed Goldman employee in California for ...
1 59 60 61 62 63 73