Views on improving the integrity of global capital markets

Insider Trading

Catch Me if You Can! Exposing and Stopping Financial Crime

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.

Insider Trading Standard Turned Inside Out by Federal Court Action

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.

Insider Trading: Is China Serious about Cleaning Up Its Capital Market?

Financial sector crackdown implicated big industry names and had significant impact on Chinese capital market.

Court Muddies Water on Insider Trading, but CFA Institute Code and Standards Are Clear

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 Displays “Full Enforcement Arsenal” in 2014 Report

SEC’s recent enforcement record posts significant numbers for a division that not long ago was struggling for respect.

Informing the “Favored Few”: The Muddy Waters of “Material Nonpublic Information”

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?

Market Abuse in Europe: Harsher Penalties for Insider Trading, Market Manipulation

EU steps up the fight against insider dealing and market manipulation. What challenges lie ahead?

Insider Trading: Ex-SAC Trader Verdict, Rejected SEC Charges Help Inform Debate

Recent legal cases provide greater clarity regarding what is considered insider trading.

Turning Tide: Hong Kong Court Order Forces Insider Trader to Pay Victims

Landmark legal victory not only will help restore investor trust but also give market players strong incentives to play fair and square.

What Has SAC Capital Taught Investment Industry about Risk Management?

How overconfidence and the lack of an effective compliance program and rigorous risk assessment system can lead investment professionals into dangerous waters.

Will SAC Capital’s Record $1.8 Billion Plea Deal Deter Insider Trading?

The largest insider-trading settlement in history, the SAC Capital case signals a new chapter in the federal government's crackdown on insider trading.

SAC Capital Advisors and Exercising Supervisory Responsibility

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.

Shades of Gray: SAC Capital Reignites Debate on What Is Insider Trading

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 Energy Play Meets FERC-enstein: What It Says about Enforcement

JPMorgan’s FERC settlement renews debate over trust and ethics in finance and the ineffectiveness of regulatory “hand-slaps.”

SAC Capital Insider-Trading Case: Shedding Light on a Growing Epidemic

A roundup of analysis on the SAC Capital case and the impact of insider trading on market integrity.

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