Tag:
Insider Trading
Latest Headlines
Latest Headlines
Patriot Act survey notes big changes
Recall that the Uniting and Strengthening America by Providing Appropriate Tools Required to Intercept and Obstruct Terrorism Act was signed into law in October 2001. The USA PATRIOT act has been a
Raj Rajaratnam: White collar sentencing test
Does the ghost of Sarbanes-Oxley live when it comes to sentencing white collar criminals? Some of the big-name CEOs who were tried and convicted in the wake of the Enron collapse received some
Conrad Black recieves new jail sentence
Unlike the collapse of Lehman Brothers, the fall of Enron in a previous era led to a string of stunning convictions of high-profile corporate executives. Back then, the prosecutorial energy reached
Do companies regularly disclose info to analysts?
Has the Reg FD urgency waned so much that company executives now regularly pass along material inside information during meetings with stock analysts and institutional investors? A survey of 400
Corporate fraud on the rise
For a while, it seemed that Sarbanes-Oxley was working. For big companies, restatements were on the decline. Financial controls were much stronger. Audits were much less arduous. And executives
Should insider trading be legal?
The on-going high-profile investigations into insider trading has grabbed a lot of headlines, in part because employees of several top companies like AMD, Dell and IBM have been implicated. It's a
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
Better technology to police insider trading?
Not too long ago, people thought the market surveillance systems put in place by FINRA, the SEC and other market centers were so sophisticated that they really were deterring insider trading. People
Policies governing research firms now imperative
The rise of "expert network" stock research firms has galvanized prosecutors who have charged several associates of these firms with facilitating illegal insider trading. They say these experts have
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
