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Employee Retention
78% of CFOs Say Quiet Quitting is a Problem: Weekly Stat
Strategies around talent recruitment and retainment are a principal focus for CFOs, according to a new study by CFO.
By
Adam Zaki
| February 1, 2023
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Insider Trading
Regulation
SEC OKs Changes to Insider Securities Trading Rules
The amendments close some of the loopholes in the 10b5-1 rule governing stock trading by corporate executives.
By
Vincent Ryan
| December 19, 2022
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Risk & Compliance
Three Charged in $4.7M Insider Trading Case
The SEC says David Schottenstein and two of his close friends traded in advance of announcements involving companies with which his family was associated.
By
Matthew Heller
| January 7, 2022
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Risk & Compliance
SEC Proposes Tighter Insider Trading Rule for Execs
The proposal addresses the safe harbor for CFOs and other corporate executives who make trades as part of a pre-announced portfolio management plan.
By
Matthew Heller
| December 15, 2021
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Risk & Compliance
Pharma CFO Charged With Insider Trading
Usama Malik allegedly gave nonpublic information about an Immunomedics drug to his then-girlfriend while he was the firm's CFO.
By
Matthew Heller
| December 3, 2021
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Risk & Compliance
McKinsey Consultant Accused of Insider Trading
Puneet Dikshit allegedly profited from inside information he had obtained while advising Goldman Sachs about a potential acquisition.
By
Matthew Heller
| November 10, 2021
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Risk & Compliance
Ex-Goldman Compliance Analyst Accused of Insider Trading
The SEC says a Spanish national abused his position in Goldman's compliance unit to make more than $471,000 in profits from insider trades.
By
Matthew Heller
| September 29, 2021
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Risk & Compliance
Ex-Netflix Engineers Charged With Insider Trading
The SEC says the software engineers were part of a ring that made $3.1 million in illicit profits based on tips about Netflix subscriber growth.
By
Matthew Heller
| August 19, 2021
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Risk & Compliance
Three Sued Over Blockchain Firm Trading
The SEC says the controlling shareholder of Long Blockchain and two associates engaged in insider trading ahead of market-moving news.
By
Matthew Heller
| July 12, 2021
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Risk & Compliance
Ex-Goldman Analyst Barred for Insider Trading
FINRA says Brian Maguire traded shares in two companies after learning that a colleague was upgrading his recommendation on the firms.
By
Matthew Heller
| April 20, 2021
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Risk & Compliance
Ex-Amazon Employee Accused of Insider Trading
The manager in Amazon's tax department allegedly made illegal trades with two family members ahead of the company's earnings announcements.
By
Matthew Heller
| September 29, 2020
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Risk & Compliance
S&P Index Manager Charged With Insider Trading
James Yang allegedly traded in options after he learned in advance that their issuers would be added to or removed from one of S&P Dow Jones' three indices.
By
Matthew Heller
| September 22, 2020
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Risk & Compliance
Special Report: Fixing Some Holes
Reforms to insider trading law could provide clarity, but they could also lead to more aggressive prosecutions.
By
Bob Violino
| April 22, 2020
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Risk & Compliance
House Passes Bill to Close ‘8-K Trading Gap’
The current system that allows insiders to trade on information about a significant corporate event is "a total abuse of the public trust."
By
Matthew Heller
| January 15, 2020
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Risk & Compliance
Five IT Workers Charged in Insider Trading Ring
A former IT administrator at Palo Alto Networks allegedly tipped off four friends in advance of the company's quarterly earnings announcements.
By
Matthew Heller
| December 18, 2019
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Risk & Compliance
Ex-Sodastream CEO Suspected of Insider Trading
Daniel Birnbaum, now Sodastream's chairman, allegedly tipped off an associate in advance of the Israeli company's takeover by PepsiCo.
By
Matthew Heller
| September 24, 2019
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