Browsing: Insider Trading

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AI Fails Insider Trading Test

06/26/2023
The following is a guest article by Susan Mathews, Principal & Founder of Madigail Consulting, LLC a securities compliance consultant providing research and ethics compliance, training and external GC and ...
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2023 SEC Exams Focus on Alt Data and Expert Networks 

05/24/2023
Asset managers have recently noted that the SEC has shown particular interest in their use of expert networks and alternative data as examiners scrutinize their compliance policies and procedures to ...
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Does Alternative Data Really Carry Insider Trading Risk?

05/05/2022
The U.S. Securities and Exchange Commission’s Division of Examinations recently warned US investment advisers that it was finding deficiencies in their compliance processes relating to material non-public information (MNPI) associated ...
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SEC Concerns about Alternative Data Risks

12/22/2020
In recent weeks a few law firms and trade associations have been discussing the various concerns the SEC has expressed about asset managers’ use of alternative data – including MNPI, ...

Some Hedge Funds Gains Access to BoE Briefings Seconds Ahead of Rivals

12/23/2019
Officials at the Bank of England (BoE) recently responded to an article in the Times revealing that a third-party supplier sold an audio backup of its online news conferences to ...

RBC Analyst Arrested for Insider Trading

08/26/2019
In recent weeks, RBC Capital Markets junior investment banking analyst, Bill Tsai, was arrested for insider trading ahead of their April announcement that private equity firm Siris Capital Group would ...

House Bill Looks to Expand Insider Trading Liability

05/27/2019
In the past, there has been no law in the US establishing what makes up insider trading.  However, that all may change as the House Financial Services Committee recently passed ...

Ex-S&P Analyst Found Guilty of Insider Trading

04/29/2019
Recently, a Manhattan federal jury took a little over two hours to find former Standard & Poor’s credit analyst, Sebastian Pinto-Thomaz, guilty of illegally tipping two friends about the $9.3 ...
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New Apple Policies Threaten Alternative Data

08/06/2018
New Terms of Service required of developers marketing their products via the Apple App Store have introduced heightened legal risks to using data collected by iOS apps – an issue ...

Hedge Fund Settles Washington DC Insider Trading Case

05/14/2018
Last week hedge fund, Visium Asset Management agreed to pay more than $10 million to settle SEC insider trading charges that it had traded drug company stocks based on inside ...
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