Browsing: Regulatory

SEC “Kicks the Can Down the Road” with Hedge Fund Registration

07/11/2011
New York, NY – A few weeks ago, the Securities and Exchange Commission finalized rules requiring registration of most hedge fund managers with either their state or the SEC.  The ...

USA Vs Shimoon et al. – Shimoon pleads guilty

07/07/2011
New York – The latest development in the case USA Vs Shimoon et al., took place last Tuesday when Walter Shimoon, 39, pleaded guilty of illegally providing investors with confidential ...

Senators Best Hedge Funds

07/06/2011
Who profits more from non-public information – U.S. Senators or hedge funds?  Academic studies suggest that the stock portfolios of U.S. Senators significantly outperform most hedge funds, providing positive abnormal ...

SEC to Address Proxy Plumbing

06/22/2011
New York – According to an article on CFO.com, the Securities and Exchange commission plans to look into conflicts of interest at proxy advisory firms: The Securities and Exchange Commission plans ...

The Insider Trading Show Renews

06/21/2011
In the latest installment of the Insider Trading Show, Winifred Jiau, an expert affiliated with Primary Global Research (PGR), was convicted on counts of securities fraud and conspiracy to pass ...

Goldman Pays $10 mln to Settle Massachusetts Trading Huddle Probe

06/13/2011
New York, NY – Culminating a two-year investigation by the Massachusetts Securities Division, last week Goldman Sachs agreed to pay a $10 mln fine and end the practice of conducting ...

PGR Closes Offices

06/01/2011
New York – The NYTimes Dealbook reports that Primary Global Research has closed its offices, but says it is still open for business: The government’s widespread crackdown on insider trading on ...

Meeting the Regulators

05/31/2011
New York – Meetings with various staff at the Securities and Exchange Commission (SEC) last week indicated that research remains an important topic on the regulatory agenda despite the challenges ...

CFA Institute, um, Supports Expert Networks (kind of)

05/24/2011
New York – A recent blog on the CFA Institute website discusses the reputational risk of using expert networks, while providing strong support for mosaic theory and more equivocal support ...

Senator Jumps Aboard Insider Trading Bandwagon

05/23/2011
New York, NY – According to the Wall Street Journal, Iowa Senator Charles Grassley, the top Republican on the Senate Judiciary Committee, has recently started an investigation into potential insider ...
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