By Securities Docket on October 19, 2009, 5:56 pm
David Seide and Bruce Carton discuss wiretaps in the Rajaratnam case and the impact on hedge fund compliance.
Posted in Criminal, Video
By Securities Docket on October 19, 2009, 5:39 pm
Ross Albert joins Bruce Carton to discuss recent criminal charges under “Section 1001” flowing from an SEC case.
Posted in Criminal, Video | Tagged Insider Trading
By Securities Docket on October 19, 2009, 4:47 pm
Developing probes have hedge fund industry reeling.
Posted in Criminal, Video | Tagged Hedge Funds, Insider Trading
By Securities Docket on October 19, 2009, 4:33 pm
Pending arrests follow one of the largest-ever undercover operations into insider trading.
Posted in Criminal | Tagged Insider Trading
By Securities Docket on October 19, 2009, 2:43 pm
Will what used to be “minor trading floor indiscretions” now be prosecuted as significant crimes?
Posted in SEC | Tagged Hedge Funds
By Securities Docket on October 19, 2009, 1:48 pm
NLJ profile sheds light on several ongoing initiatives.
Posted in SEC | Tagged Regulators
By Securities Docket on October 19, 2009, 10:45 am
Please join Wilmer’s Bill McLucas and FTI’s Marty Wilczynski for this free webcast on Wed., Nov. 4.
Posted in SD Insider | Tagged Regulators, Webcasts
By Securities Docket on October 19, 2009, 6:55 am
Get caught up with the Securities Docket A.M. News Wire for October 19, 2009.
Posted in News Wire | Tagged News Wire