Sentences with phrase «insider trading compliance»

Bruce Carton at Securities Docket recently explained the virtues of an insider trading compliance program for publicly - traded companies.

Not exact matches

«SAC has never encouraged, promoted or tolerated insider trading and takes its compliance and management obligations serioulsy,» the firm said in a statement read by CNBC's Kayla Tausche.

This article is the third in a three - part series discussing practical insights from a recent presentation on insider trading and compliance priorities by K&L Gates partners Michael W. McGrath, Carolyn A. Jayne and Nicholas S. Hodge.

He has argued that failed banks should not be bailed out, Lehman's collapse was not a disaster, AIG should be declared bankrupt, that naked short selling is not a problem, that backdating isn't so bad, insider trading should be legal, many corporate CEOs are underpaid, global solutions are worse than local solutions, Warren Buffett is overrated, Michael Milken is a great American, the collapse of the hedge fund was not a scandal, hedge funds are over-regulated, education is overrated by the educated, bonuses at successful Wall Street's firms are deserved and possibly undersized, management buyouts are boons to the economy, Enron's management was victimized by an over-zealous prosecution, Sarbanes - Oxley should be repealed, corporate compliance culture is a disaster, shareholder democracy is overrated, hostile takeovers ought to be revived, the market is permanently moving away from public ownership of equity in corporations, private partnerships are on the rise, public ignorance is encouraged and manipulated by governments and corporations, experts overrate expertise, regulatory agencies are controlled by the businesses they supposedly regulate and Wall Street is much more fun than people give it credit for.

The SEC's primary compliance mechanism is prosecuting civil cases against companies and individuals that commit fraud, disseminate false information or engage in insider trading.

We assist our clients with corporate and securities compliance issues, such as continuous disclosure and insider trading requirements of issuers and individuals.

These matters, which are typically nonpublic, have covered a broad range of securities - related subject matters, including insider trading, foreign corrupt practices, financial reporting, manipulation and regulatory compliance.

He is an Editor and Co-author of «Cyber Security Strategy for Litigation and Compliance,» which is the first book in the Japanese legal marketplace discussing multi-stakeholder risk management strategies relating to external cyber-attacks and insider cyber trade secret theft.

Dr Laubert started his career at Daimler in 2004, where he first worked on several litigation cases involving human rights and insider trading, was involved in the investigations of violations of the US Foreign Corrupt Practices Act (FCPA) and the settlement negotiations with the relevant authorities, and also advised on many aspects of criminal law and compliance matters.

Monitored client trades on a real - time basis to ensure best execution and prevent insider trading through multiple proprietary software / risk / compliance models