Browsing: Regulatory

Massachusetts Looks to Regulate Expert Networks

04/25/2011
New York, NY – Last week, Massachusetts became the first state in the country to propose rules to regulate the expert network industry.  While such a move appears to be ...

SEC Sweeps Alpha Capture Platforms

04/19/2011
New York – The U.S. Securities and Exchange Commission has conducted a series of ‘sweeps’ focusing on ‘alpha capture’ platforms, according to a panelist at the recent Investorside Members’ Day ...

Galleon Defense Strategy a Puzzling Mosaic

04/18/2011
New York, NY – As the insider trading case against Galleon founder Raj Rajaratnam comes to an end, we look back on the case and scratch our heads about the ...

Insider trading charge No. 47 (and counting)

04/15/2011
Joseph Skowron, an ex portfolio manager at FronPoint Partners, surrendered to the FBI on Wednesday after being charged with insider trading. Allegedly, Skowron sold his stakes in a drug company ...

Crooks, Not Hedge Funds in Fed’s Cross Hairs

04/11/2011
NYC, NY – Last week the FBI arrested Matthew Kluger, a former attorney at Wilson Sonsini Goodrich and Rosati; and Garrett Bauer, a stock trader in an alleged insider trading scheme ...

Regulating Debt Research

04/05/2011
New York – A lively topic at the recent SIFMA compliance conference was a FINRA concept release creating more regulation of debt research.  The new regulation would create barriers between ...

Your friendly neighborhood SEC

03/31/2011
New York – Briefly mentioned in yesterday’s article was the fact that the SEC has recently charged a chemist working for the FDA with insider trading.  The suit alleges that ...

Integrity Research Associates Launches Compliance Service

03/28/2011
New capability provides due diligence on compliance policies and practices of investment research firms New York – Integrity Research Associates LLC announced today a new offering to help asset managers assess ...

Khuzami Remarks at SIFMA’s Compliance and Legal Society Annual Seminar

03/24/2011
New York – Yesterday, Robert Khuzami, Director of the SEC’s Division of Enforcement addressed the SIFMA Compliance and Legal Society Annual Seminar. Some of his remarks are excerpted below, especially ...

Do As I Say Not As I Do

03/22/2011
New York – When is inside information not illegal?  When U.S. lawmakers or their staff trade on nonpublic regulatory or legislative information.  Two House Democrats introduced legislation last week to ...
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