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By Securities Docket on February 11, 2016, 9:54 am
Cohen’s Point72 Asset Management is actively looking for a new so-called independent monitor to watch his market activities following a settlement with U.S. regulators that stems from a wide-ranging insider trading investigation, people with direct knowledge of the matter say. via You Can Earn Big Bucks Watching Hedge Funder Steve Cohen | Fox Business
By Securities Docket on October 16, 2014, 7:20 am
Companies that discover corruption issues might do well to clean up their act before they make disclosures to the government. Current and former officials say authorities have become more reluctant to impose outside watchdogs — known as monitorships — when companies can show they’ve already reformed the policies that allowed misconduct to occur. via SEC […]
By Securities Docket on July 29, 2014, 3:06 pm
New York’s banking regulator is pushing to install government monitors inside the U.S. offices of Deutsche Bank and Barclays PLC as part of an intensifying investigation into possible manipulation in the foreign-exchange market, according to people familiar with the probe. via Regulator Wants Monitors in Deutsche Bank, Barclays U.S. Offices as Part of FX Probe […]
By Securities Docket on February 26, 2014, 7:41 am
Steven A. Cohen, the billionaire hedge fund owner, is looking to hire a former prosecutor or securities regulator to monitor trading at his investment firm after the federal government's insider trading investigation. After Inquiry, SAC Capital Says It Intendsto Hire a Trading Monitor – NYTimes.com
By Securities Docket on March 20, 2012, 12:59 pm
One company faces back-to-back corporate compliance monitors.
By Securities Docket on September 3, 2010, 5:04 pm
Is a lack of independence for BAE’s corporate monitor perception or reality?