Views on improving the integrity of global capital markets

Insider Trading


Reputation or Information — Must One Choose?

Investment professionals spend years building their reputations with their clients and peers. Their hard work and diligence in conducting investment analysis may include periodic discussions with experts arranged through the myriad of placement networks. But with the recent READ MORE ›

Russia’s New Insider Trading Law

After a decade of wrangling and lobbying, Russia’s new law on insider trading and market manipulation finally came into force last January. Such a law was overdue and a necessary step in fulfilling Russia’s stated ambition to make Moscow… READ MORE ›

SEC’s Small Comment on Expert Networks Has Big Impact

At the recent Annual IA Compliance Best Practices Seminar, the SEC offered some of its strongest language yet in clarifying its view of expert networks.

While the bulk of the speech by Carlo di Florio, director of the… READ MORE ›

Materiality — Is There a Line?

Against the backdrop of the start of the insider trading case against hedge fund manager Raj Rajaratnam, Baruch College’s Robert Zicklin Center for Corporate Integrity at the City University of New York (CUNY) hosted a symposium on Tuesday, 8… READ MORE ›

Tipping Point

It was an especially late night at work for former portfolio manager Donald Longueuil — one that lasted into the wee hours of the morning of 20 November 2010, according to U.S. prosecutors…. READ MORE ›

Mosaic Theory or Painting by the Numbers?

The initial hysteria over the “vast” insider-trading scandal has waned somewhat in recent days. Early indications pointed to an assault on the so-called “mosaic theory” and other types of primary research tools. A particular target… READ MORE ›

Harry Potter and the Dark Mosaic

A rumor is circulating that the longstanding practice of searching for and gathering individual pieces of nonpublic data to create a fuller research picture of a particular investment opportunity is somehow, well, inappropriate or far… READ MORE ›

A Network of Insiders

The now highly-visible insider trading probe on Wall Street is shining a harsh spotlight on “expert networks.” Relatively new to the investment research landscape, these networks offer access to experts across various industry sectors — medicine, biotech, technology, and… READ MORE ›



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