Insider Trading
Panel at recent regulatory conference discuss financial crimes, recourse that’s available when crimes cross borders, and how CFA Institute deals with members involved in crimes.
Although insider trading prosecution has a long history in the US, recent actions by the courts and Congress have thrown the SEC enforcement arm into a no man’s land.
Financial sector crackdown implicated big industry names and had significant impact on Chinese capital market.
Despite courts’ waffling on insider trading, the CFA Institute Code and Standards are constant: If you know the information is material and not in the public domain, don’t trade or cause others to trade by disclosing it.
SEC’s recent enforcement record posts significant numbers for a division that not long ago was struggling for respect.
When does strategizing with other investors on your activist plans morph into tipping fellow investors about trading positions that could move stock price once disclosed?
EU steps up the fight against insider dealing and market manipulation. What challenges lie ahead?
Recent legal cases provide greater clarity regarding what is considered insider trading.
Landmark legal victory not only will help restore investor trust but also give market players strong incentives to play fair and square.
How overconfidence and the lack of an effective compliance program and rigorous risk assessment system can lead investment professionals into dangerous waters.
The largest insider-trading settlement in history, the SAC Capital case signals a new chapter in the federal government's crackdown on insider trading.
The SAC Capital Advisors case emphasizes the importance of exercising supervisory responsibility. Supervising others to prevent violations of securities laws, rules, and regulations is also a prominent part of the CFA Institute Code of Ethics and Standards of Professional Conduct.
Insider trading charges against the former research analyst and alleged SAC tipper raises the question of when the sharing of "confidential" information constitutes insider trading.
JPMorgan’s FERC settlement renews debate over trust and ethics in finance and the ineffectiveness of regulatory “hand-slaps.”
A roundup of analysis on the SAC Capital case and the impact of insider trading on market integrity.