Compliance - Personal and Insider Trading
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New insider trading norms within 10 days: SEBI chief - Hindu Business Line

New insider trading norms within 10 days: SEBI chief - Hindu Business Line | Compliance - Personal and Insider Trading | Scoop.it
Hindu Business Line New insider trading norms within 10 days: SEBI chief Hindu Business Line To curb the growing menace of insider trading activities in the stock market, the Securities and Exchange Board of India will come up with a new set of...
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SEC ups efforts to combat manipulations of 'microcap' stocks - STLtoday.com

SEC ups efforts to combat manipulations of 'microcap' stocks - STLtoday.com | Compliance - Personal and Insider Trading | Scoop.it
SEC ups efforts to combat manipulations of 'microcap' stocks STLtoday.com With a new chairman at its helm, and new chiefs leading the enforcement division, the agency created a 26-person task force in July devoted to rooting out microcap trading...
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BC Securities Commission launches insider trading prosecution of analyst for ... - Vancouver Sun

BC Securities Commission launches insider trading prosecution of analyst for ... - Vancouver Sun | Compliance - Personal and Insider Trading | Scoop.it
BC Securities Commission launches insider trading prosecution of analyst for ...
Vancouver Sun
The B.C. Securities Commission has accused a Vancouver-based mining cost analyst of insider trading for the sale of his shares in Baja Mining Corp.
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Insider trading gets more scrutiny, but convictions may not flow - The Conversation

Insider trading gets more scrutiny, but convictions may not flow - The Conversation | Compliance - Personal and Insider Trading | Scoop.it
Insider trading gets more scrutiny, but convictions may not flow The Conversation The Australian Securities and Investments Commission is moving to “real-time” monitoring of share trading as another weapon in the ongoing fight against insider...
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Ex-Carter's analyst pays after insider trading allegations - Atlanta Business Chronicle

Ex-Carter's analyst pays after insider trading allegations - Atlanta Business Chronicle | Compliance - Personal and Insider Trading | Scoop.it
Ex-Carter's analyst pays after insider trading allegations Atlanta Business Chronicle Dennis Rosenberg, a former market analyst who covered Atlanta-based Carter's Inc., will forfeit $608,000 after the Securities and Exchange Commission accused him...
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KPMG auditor deserves 3 years for insider trading, probation office says - Los Angeles Times

KPMG auditor deserves 3 years for insider trading, probation office says - Los Angeles Times | Compliance - Personal and Insider Trading | Scoop.it
KPMG auditor deserves 3 years for insider trading, probation office says Los Angeles Times Former KPMG partner Scott London should be sentenced to three years in prison for selling secret information about the accounting firm's clients to a...
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SAC Capital To Close London Office - ValueWalk

SAC Capital To Close London Office - ValueWalk | Compliance - Personal and Insider Trading | Scoop.it
ValueWalk
SAC Capital To Close London Office
ValueWalk
SAC has already seen six former employees plead guilty to insider trading and Michael S. Steinberg and Mathew Martoma are expected to stand trial prior to the end of the calendar year.
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The war against 'insider trading 2.0' - Financial Times

The war against 'insider trading 2.0' - Financial Times | Compliance - Personal and Insider Trading | Scoop.it
The war against 'insider trading 2.0'
Financial Times
Insider trading is a fluid concept. Until 1980, the practice was not illegal in the UK.
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Brothers fined $5M in Heinz insider-trading case - USA TODAY

Brothers fined $5M in Heinz insider-trading case - USA TODAY | Compliance - Personal and Insider Trading | Scoop.it
Economic Times
Brothers fined $5M in Heinz insider-trading case
USA TODAY
Two Brazilian brothers will pay nearly $5 million to settle charges that they were responsible for suspicious trading in stock options for H.J.
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FORMER BIOMED EXEC PLEADS GUILTY IN INSIDER TRADING CASE - U-T San Diego

FORMER BIOMED EXEC PLEADS GUILTY IN INSIDER TRADING CASE - U-T San Diego | Compliance - Personal and Insider Trading | Scoop.it
FORMER BIOMED EXEC PLEADS GUILTY IN INSIDER TRADING CASE U-T San Diego John Lazorchak, a former director of financial reporting at biopharmaceutical company Celgene, pleaded guilty for his role in a health-care stock insider-trading ring that...
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The Netherworld of What Constitutes Insider Trading - Compliancex | Compliancex

The Netherworld of What Constitutes Insider Trading - Compliancex | Compliancex | Compliance - Personal and Insider Trading | Scoop.it
Identifying insider trading sometimes seems like a game of three-card monte: first you see it, then you don’t. A recent settlement by Citigroup with a
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Migration minister faces insider trading probe - The Local

Migration minister faces insider trading probe - The Local | Compliance - Personal and Insider Trading | Scoop.it
Sweden's Migration Minister Tobias Billström is to face an insider trading investigation over his purchase of shares in a troubled mining firm just days after the confirmation of a bailout.
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Another Insider Trading Fine, This Time for Citigroup - Businessweek (blog)

Another Insider Trading Fine, This Time for Citigroup - Businessweek (blog) | Compliance - Personal and Insider Trading | Scoop.it
Economic Times Another Insider Trading Fine, This Time for Citigroup Businessweek (blog) Yesterday, Massachusetts Secretary of State William Galvin demonstrated his interest in competing with Preet Bharara for the title of Sheriff of Wall Street by...
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FX Dealers Said to Use Day Traders to Make Personal Bets ...

FX Dealers Said to Use Day Traders to Make Personal Bets ... | Compliance - Personal and Insider Trading | Scoop.it
Currency dealers in London gave information about client orders to day traders who then made bets on their behalf, sidestepping restrictions on [...]
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Analyst Says SAC Trader Sought 'Edgy' Information - New York Times

Analyst Says SAC Trader Sought 'Edgy' Information - New York Times | Compliance - Personal and Insider Trading | Scoop.it
InsideCounsel
Analyst Says SAC Trader Sought 'Edgy' Information
New York Times
Mr. Horvath's attempts to rectify the mistake are now at the center of Mr. Steinberg's insider trading trial. Mr.
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SEC charges another tipper in Galleon insider trading scheme - HITC Business

SEC charges another tipper in Galleon insider trading scheme - HITC Business | Compliance - Personal and Insider Trading | Scoop.it
The Securities and Exchange Commission has charged a former employee at a Silicon Valley-based semiconductor company for his role tipping non-public information used in connection with Raj Rajaratnam’s massive insider trading scheme.
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SAC, US to Announce Record Insider-Trading Settlement - Wall Street Journal

SAC, US to Announce Record Insider-Trading Settlement - Wall Street Journal | Compliance - Personal and Insider Trading | Scoop.it
SAC, US to Announce Record Insider-Trading Settlement Wall Street Journal Hedge-fund group SAC Capital Advisors LP and federal prosecutors in Manhattan are expected to announce a record insider-trading settlement Monday, according to a person...
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Sydney Duo Made $20000 On An Insider Trade, Could Get 10 Years In Jail As ... - Business Insider Australia

Sydney Duo Made $20000 On An Insider Trade, Could Get 10 Years In Jail As ... - Business Insider Australia | Compliance - Personal and Insider Trading | Scoop.it
Sydney Duo Made $20000 On An Insider Trade, Could Get 10 Years In Jail As ...
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Ex BMS Exec Gets Prison Term for Insider Trading - Drug Discovery & Development

Ex BMS Exec Gets Prison Term for Insider Trading - Drug Discovery & Development | Compliance - Personal and Insider Trading | Scoop.it
Drug Discovery & Development Ex BMS Exec Gets Prison Term for Insider Trading Drug Discovery & Development He was legally banned from disclosing confidential information and material, nonpublic information he learned through his employment or from...
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The Dos and Don’ts of Social Media Disclosure

The Dos and Don’ts of Social Media Disclosure | Compliance - Personal and Insider Trading | Scoop.it
As more companies let their CEOs and other top executives disclose key financial data on Facebook and Twitter, they need to remain vigilant to prevent postings that can put the business at risk of legal and regulatory problems.
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Mark Cuban Unplugged (As Usual) About Victory in SEC Insider Trading Case

Mark Cuban Unplugged (As Usual) About Victory in SEC Insider Trading Case | Compliance - Personal and Insider Trading | Scoop.it
Asa MathatAfter a federal jury — deliberating only a little more than three hours — handed billionaire entrepreneur Mark Cuban a verdict in his favor in an insider-trading case brought by the Securities and Exchange Commission, I asked him to send...
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JPMorgan books 3Q loss on litigation charge - Wall Street Journal

JPMorgan books 3Q loss on litigation charge - Wall Street Journal | Compliance - Personal and Insider Trading | Scoop.it
JPMorgan books 3Q loss on litigation charge
Wall Street Journal
Last month, JPMorgan agreed to pay $920 million and admitted that it failed to oversee trading that led to a $6 billion loss last year. The lender ...
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Bankrupt retailer Tweeter's stock soars on confusion with Twitter IPO handle - The Province

Bankrupt retailer Tweeter's stock soars on confusion with Twitter IPO handle - The Province | Compliance - Personal and Insider Trading | Scoop.it
KOMO News
Bankrupt retailer Tweeter's stock soars on confusion with Twitter IPO handle
The Province
The Financial Industry Regulatory Authority, Wall Street's industry regulator, halted trading of Tweeter's stock Friday afternoon.
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Analyst notes are the latest front in the battle against insider trading - Quartz

Analyst notes are the latest front in the battle against insider trading - Quartz | Compliance - Personal and Insider Trading | Scoop.it
AFP Analyst notes are the latest front in the battle against insider trading Quartz Citigroup this week agreed to pay $30 million to settle allegations that analyst Kevin Chang improperly revealed inside information about Apple's supply chain to...
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Insider trading conviction of Galleon's Raj Rajaratnam upheld - NBC News.com

Insider trading conviction of Galleon's Raj Rajaratnam upheld - NBC News.com | Compliance - Personal and Insider Trading | Scoop.it
A federal appeals court on Monday upheld the insider conviction of Galleon Group hedge fund founder Raj Rajaratnam. The 2nd U.S. Circuit...
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