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hedge funds
Latest Headlines
Latest Headlines
After nine years, lessons from Sarbanes Oxley compliance
Let's start this with some good news on the ninth anniversary of Sarbanes-Oxley. According to the "2011 Sarbanes-Oxley Compliance Survey" by Protiviti, nearly 90 percent of more than 400 respondents
Media tipsters as whistleblowers
Dodd-Frank, in its quest to clamp down on financial services industry fraud, authorized a program to encourage whistleblowers to report incriminating information to proper authorities. But just who
The fallacy of the $1 salary for CEOs
When the going gets tough, some CEOs bite the bullet. They announce they will take only a $1 salary until they turn their companies around. The highest-profile example of a $1 CEO recently was
Public pensions boost hedge fund allocations; regulatory issue critical
It's no secret that public pensions are boosting allocations to hedge funds. Many funds had already boosted allocations to private equity and now they seem bent on pushing their hedge fund
Managing M&A risk is tricky for boards
As mergers and acquisitions heat up--we're already seeing this in a huge way with the NYSE Euronext-Deutsche Bourse deal--boards will have to tune back in to the risks that merger activity
Time to set rules for employee consulting work
The high-profile insider trading investigation has focused attention on expert network firms and the risks they represent. The probe uncovered several cases of employees that are paid quite well to
Dodd-Frank: A big pay day for hedge funds, short sellers?
We've discussed the new whistleblower provisions in Dodd-Frank, which are definitely whistleblower-friendly to the dismay of executives. Many are expecting a flood of whistleblower claims, thanks to
Reg FD leads to insider trading?
Regulation Fair Disclosure (Reg FD) has been hailed as a milestone by many, as it really tightened up selective disclosure by company executives to investors and analysts. This was seen as a problem
SEC is very busy these days
While Dodd-Frank affects many companies, it also affects regulators in profound ways. The SEC especially has seen its responsibilities expanded. In some ways, despite much criticism of the agency in
Common sense on compliance in the cloud
The financial services industry--from big broker-dealer back offices to small hedge funds--is moving in fits and starts toward more use of cloud computing. This has not yet turned into a mass
