Daily Archives: July 11, 2014, 10:57 am

UK Study Shows Sharp Decline in Insider Trading Following 2009 Surge in Enforcement – Compliance Week

A paper published this week by the UK’s FCA says that insider trading has declined sharply since 2009. The FCA was not able to identify the cause of the decline but it coincides with UK regulators’ increased enforcement efforts in that area. via UK Study Shows Sharp Decline in Insider Trading Following 2009 Surge in Enforcement – Compliance Week

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‘Inapproriate Relationship’ Sinks Ernst & Young Audit — CFO.com

Despite perfectly clean financial reporting, a company might find itself forced to have its financial reports re-audited if the company and its auditor have violated the Securities and Exchange Commission’s auditor-independence rules. That, apparently, is one takeaway from a series of events that saw Ernst & Young inform an audit client, Ventas, on July 3 that the Big Four firm…

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