Posts Tagged “Hedge Funds”
by The Compliance Exchange on January 17, 2013
Mary Jo White, the former U.S. attorney in Manhattan, is under consideration to become the next chairman of the Securities and Exchange Commission
by The Compliance Exchange on January 7, 2013
2013 will be another challenging year for hedge funds, with compliance being one of the biggest issues.
by Jack J. Kelly on January 7, 2013
Former Citigroup CEO Vikram Pandit was unceremoniously shown the door based, in part, for his failure to play well with the regulators.
by The Compliance Exchange on January 4, 2013
U.S. financial regulators are pushing to turn hedge funds into informers on the white collar crime beat.
by The Compliance Exchange on December 26, 2012
The recent rash of insider trading cases may be a shock to some on Wall Street, but not to one long-time market player: Bernie Madoff.
by Kyle Colona on December 11, 2012
In a recent piece run by Time, the question is raised as to whether the Feds can sweep the Street clean of insider traders. By harkening back to the go-go 1980s when the likes of junk bond titans Michael Milken (…)
by The Compliance Exchange on November 26, 2012
When Mathew Martoma walked onto the trading floor at SAC Capital Advisors six years ago, he represented a new breed of employee at the giant hedge fund.
by The Compliance Exchange on November 15, 2012
The guidance jointly issued by the Department of Justice and the Securities & Exchange Commission on Wednesday on the Foreign Corrupt Practices Act isn’t a difficult read — and anyone who practices in this area has presumably already devoured the 130-page document.
by The Compliance Exchange on November 7, 2012
Even as it awaits the outcome of a hedge fund’s appeal of an earlier sanction, Japan’s market regulator has taken after the hedge fund once again.