Investors call for tax disclosure ruling
A group of institutional investors has called for more stringent regulation surrounding the disclosure of significant tax and...
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Regulation Archive
SEC forces hedge fund manager to admit wrongdoing
The SEC, under new management, has shown it can deliver on its promise to stiffen penalties for wrongdoing.The commission forced...
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Compensation debate to build as SEC readies pay ratio rule
After three years of nerve-wracking say-on-pay votes, corporate exasperation over disclosures of executive compensation is about...
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Australian regulator to get tough with IROs on analyst briefings
The Australian Securities & Investments Commission (ASIC) has directly warned in a speech to IROs that it will consider...
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Former CEO of Houston-based IR firm charged with insider trading
The former CEO of Dennard-Lascar Associates has been charged with insider trading by the SEC, amid claims he avoided losses of...
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SEC troubled by ‘low morale’ and ‘distrust’, study finds
Mention of the SEC can be a joy killer for some of the hedge funds and insider traders pegged in its investigations. Apparently...
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SAC hedge fund faces criminal charges
While its owner was charged with lax management, $15 bn hedge fund SAC Capital itself has been indicted for insider trading in one...
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Court upholds conflict minerals rule
A district court has upheld the validity of the conflict minerals rule established under the Dodd-Frank Act, confirming that the...
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Transparency the best policy?
In an era when public firms have grown accustomed to ever-increasing levels of regulation, the announcement that the European...
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13f filings: Time to own up?
‘Who owns my stock?’ That question is arguably one of the toughest IROs face, day in and day out. The current market is...
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