Browsing: Compliance

Buy-Side Compliance Response to Research Providers

08/01/2011
New York, NY – Over the past few months, buy-side investors have responded in a number of ways to address concerns that the external research providers they use might introduce ...

Pressure on Hedge Funds Transforms Research

07/26/2011
A recent article by a prominent fund of hedge funds illustrates the external research requirements that hedge fund investors are demanding from hedge funds.  The standards apply broadly to all ...

MNPI Fears Harm Sector Specialists and Others

07/25/2011
New York, NY – Over the past eight months, institutional investors have reigned in their use of many primary research providers for fear of introducing “material nonpublic information” into their ...

PGR-Related Sentencing Begins

07/19/2011
The sentencing of insider trading cases involving Primary Global Research (PGR) has begun.  Daniel DeVore, an expert affiliated with PGR who cooperated with prosecutors was sentenced to disgorge the payments ...

SEC Fines Janney for Compliance Violations

07/18/2011
New York, NY – Last week, the Security and Exchange Commission settled charges with Philadelphia-based investment bank, Janney Montgomery Scott, for failing to establish and enforce policies preventing the potential ...

Tap baby tap

07/14/2011
New York – A court filing revealed that the techniques used by the US government to uncover the intricacies of the relationships between hedge-fund managers and expert networks included secret ...

Kinnucan, Kinnucannot

07/12/2011
John Kinnucan, founder of Broadband Research, is making headlines again, and this is not bullish for independent research providers. Kinnucan was recently cited as having received inside information during 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 ...

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 ...
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