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Web Watch: Best of the Week Ending January 4 – Compliance Week
Posts on three key enforcement areas to watch in 2014, the world of SEC whistleblowers, and a detailed look at how the SEC analyzed potential mortgage cases.
U.K. Struggles in Fight Against Insider Trading – WSJ.com
The arrests last February of Mr. Linderum and a colleague led to the collapse of their roughly $100 million hedge fund, Lodestone Investment Partners LLP. Seven people lost their jobs. Nearly 10 months later, the Financial Conduct Authority dropped the investigation of the two Lodestone executives and a third trader from another hedge fund who […]
Red alert over record year for insider dealing – FT.com
Fund groups are on red alert over the global regulatory clampdown on insider trading as new figures reveal the level of fines, arrests and investigations around the world jumped significantly in 2013. via Red alert over record year for insider dealing – FT.com
Securities Docket News Wire for January 4, 2014
Get caught up with the Securities Docket News Wire for January 4, 2014.