Browsing: Regulatory

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 ...

Big Lots Drops Suit of Retail Intelligence Group

02/22/2011
New York, NY – Last week, Big Lots, a Columbus, Ohio-based discount retailer agreed to drop its lawsuit of independent channel checker, Retail Intelligence Group (RIG).  The final settlement won’t ...

Compliance Oversight of Quantitative Research

02/18/2011
New York – The SEC recently released an order relating to three AXA Rosenberg entities that has interesting implications for quantitative researchers: The SEC’s order instituting administrative proceedings against the firms ...

How Much Longer?

02/15/2011
New York – The insider trading investigation entered a new phase in February as the focus shifted from suppliers of inside information, mainly centered on expert network Primary Global Research ...

New Compliance Tool: Pliers

02/09/2011
New York  –  U.S. prosecutors moved closer to their reported target, hedge fund SAC Capital, with the arrest of two portfolio managers formerly employed by SAC.  The complaint also names ...

SEC Files Charges in Insider Trading Probe

02/07/2011
New York, NY – Last week, the Securities and Exchange Commission filed civil securities fraud charges against four consultants and two former employees of expert network, Primary Global Research, for ...

Worth the Postage?

02/03/2011
New York – In a letter to investors sent at the end of January, SAC Capital’s Steve Cohen assured his investors that he does not expect any losses or costs ...
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