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BusinessWeek
October 30, 2006
Emily Thornton |
A Steady Drip of Buyout Leaks The Justice Dept. is investigating several cases where insiders may have traded on nonpublic information.   |
CFO
October 1, 2006
Alix Nyberg Stuart |
Are Your Secrets Safe? A shift in banks' business model raises questions about conflicts. |
Wall Street & Technology
November 26, 2007
Melanie Rodier |
Complex Event Processing Moves Beyond Algorithmic Trading Risk management is one of the areas in which financial firms are finding that Complex Event Processing can help them gain a competitive edge. |
CFO
May 1, 2008
Alix Stuart |
All in the Families The SEC is aiming to sniff out improper relationships, including insider trading, between hedge funds and the companies they invest in. |
BusinessWeek
February 6, 2006
Emily Thornton |
More Heat On Hedge Funds As if there weren't enough controversy surrounding hedge funds, now the Securities & Exchange Commission is investigating suspicions that fund employees are engaging in insider trading. |
Registered Rep.
March 1, 2007
Halah Touryalai |
SEC Cracks Insider-Trading Ring The SEC has charged 14 individuals -- including employees of UBS and Morgan Stanley -- with participating in two insider-trading schemes that generated at least $15 million in illegal profits. |
BusinessWeek
March 12, 2007
Matthew Goldstein |
Homing In On Trading Abuses Do allegations that a UBS worker sold info to hedge funds signal a growing problem? |
Reason
October 2003
Michael McMenamin |
St. Martha Why Martha Stewart should go to heaven and the SEC should go to hell. |
Bank Technology News
February 1, 2008
Glen Fest |
Overseeing "Legal" Insider Trading Regulators are interested in the innocuous, everyday - and legal - activity that's at the center of most executive compensation plans and major stakeholder investments. |
BusinessWeek
October 21, 2009
Farzad & Francis |
The SEC's Tough New Offensive on Insider Trading It's using wiretaps, informants, and high-tech software, as well as teaming with key federal prosecutors, to nab wrongdoers fast. |
The Motley Fool
December 26, 2006
Dan Caplinger |
The SEC's Gift to You: Part 2 By giving the investing public access to information, and serving as a regulator with the power to take action to correct problems, the SEC works hard to protect investors. |
Wall Street & Technology
November 26, 2007
Melanie Rodier |
Streamlining Global Compliance Globalization continues to be a trend, and financial companies are finding they can't manage current global compliance requirements efficiently. |
U.S. Banker
September 2004
Karen Krebsbach |
Security: The Inside Job Your employees wouldn't rip you off, right? Think again. Their theft will cost banks $2.4 billion this year. |
BusinessWeek
July 26, 2004
Paula Dwyer |
The SEC To Top Execs: Read The Fine Print The Ken Lay criminal indictment has overshadowed the parallel SEC civil lawsuit. But corporate insiders and their attorneys would be wise to give the SEC complaint a close read. |
U.S. Banker
September 2007
Lee Conrad |
Oversight: Hedge Fund Transparency At Issue...Again The Securities & Exchange Commission is attempting to shine a spotlight on the most opaque of investments-hedge funds-by creating a working group in its enforcement division to combat insider trading. |
Wall Street & Technology
October 27, 2008
Penny Crosman |
Wall Street Firms Using CEP to Measure and Manage Risk New complex event processing applications promise to help firms get a better handle on their risk exposure, but can CEP erase Wall Street's risk management woes? |
Financial Planning
October 1, 2005
Lisa Roth |
When the SEC Comes Calling Advisers need to prepare for an SEC regulatory inspection this month. Here's why -- and how. |
CFO
April 1, 2005
Tim Reason |
The Limits of Mercy The cost of cooperating with the SEC is high. The cost of not cooperating is even higher. Faced with financial penalties, career-ending bans, and possible criminal prosecution, more individuals are choosing to fight the SEC. |
The Motley Fool
May 16, 2007
Richards & Hanson |
Now Is the Time to Stop Trading Stocks To beat the stock market, you don't have to be a timer, or a trader, or even an inside trader. All you have to do is buy great companies with a willingness to hold them through inevitable ups and downs. |
Wall Street & Technology
April 14, 2006
Govind Sandhu |
Beyond Registration Persistent compliance efforts may be one of the most critical investments in the success of today's hedge funds. |
BusinessWeek
December 22, 2003
Amy Borrus |
Funds: Leaving Little Guys Out In The Cold The SEC's cleanup of mutual funds could shortchange small investors. |
Financial Planning
August 1, 2006
Gavin Morrissey |
Flying Blind For financial advisory clients who are corporate insiders with company stock, a blind trust may be their best option. However, it's imperative that advisers work with attorneys who are familiar with blind trusts to ensure that the document includes the proper provisions. |
CFO
October 1, 2002
Alix Nyberg |
Regulation: Pitt and the Pendulum The kinder, gentler SEC Pitt envisioned vanished faster than you can say Arthur Andersen. Can he run a tougher, meaner agency? |
BusinessWeek
March 21, 2005
Amy Borrus |
Wall Street's Dirty Rotten Little Scoundrels The SEC has a new plan to turn up the heat on small-time Wall Street fraudsters. |
Financial Planning
March 1, 2008
Jane Worthington |
Keep It Private One of the top regulatory issues for 2008 will be firms' control over their nonpublic "inside" information. Regulators have been swift to bring heavy fines -- even permanently barring perpetrators from the financial services industry. |
Wall Street & Technology
February 4, 2005
Maria Santos |
Compliance As the Securities and Exchange Commission steps up its efforts to regulate the industry and protect investors, financial institutions must take proactive measures to comply with current and possible future rules before the SEC takes action against them. |
The Motley Fool
June 20, 2006
Seth Jayson |
SEC Slaps Tube Traders A few South American account holders are charged with trading Maverick Tube on inside information. The SEC is, so far, short on the details of just how these people got insider information. |
The Motley Fool
May 10, 2004
Rich Smith |
When Cheating Is an Option The Charter One acquisition by Royal Bank of Scotland may spawn yet another insider-trading scandal. |
Financial Advisor
March 2005
Tracey Longo |
The Watchdog Inside Your Firm The SEC is making your chief compliance officer a whistleblower. Advisors' success with regulators in 2005 will depend largely on whether they trip themselves up or are able to create a business model that is better aligned with their clients. |
BusinessWeek
September 26, 2005
Amy Borrus |
The SEC: Cracking Down On Spin The Securities & Exchange Commission is going after executives for skimpy or misleading disclosures in annual reports. |
The Motley Fool
December 29, 2005
Rich Smith |
Cheat, Profit, Go to Jail The FBI nabs one Charter One Financial/Royal Bank of Scotland insider trader, but its work isn't done. |
National Defense
November 2013
Stew Magnuson |
Companies Ill-Prepared to Fend Off Insider Threats Two high-profile cases are putting a spotlight on insider threats in the private sector, particularly companies that do business with the Defense Department, intelligence agencies and other government organizations. |
