Browsing: Regulatory

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 ...

Hedge Fund Implicated in Insider Trading Probe

02/01/2011
New York – A former Citigroup Inc. hedge-fund manager was named by the Wall Street Journal yesterday as a co-conspirator in the insider trading case, confirming that the investigation is ...

Do What The Smart Guys Are Doing

01/31/2011
New York, NY – Last week Bank of America Corp. agreed to settle accusations by the Securities and Exchange Commission that Merrill Lynch’s proprietary trading desk illegally traded based on ...

Employer’s Consent – Eliminating Risk for Expert Network Users?

01/24/2011
New York, NY – As the insider trading investigation has progressed over the past few months, numerous market participants have held extensive discussions about how best to limit the legal ...

More Fallout from the insider investigation

01/21/2011
New York – Earlier this week, two different news articles suggested that the fallout from the insider trading probe will likely involve regulation and increased calls for transparency.  Gerson Lehrman ...

TABB Report Indicates Expert Network Regulation Likely

01/18/2011
New York – In a recent poll of institutional equity market participants by the TABB Group nearly 80% of respondents said that the compliance controls in place at expert networks ...
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