News & Analysis as of

Insider Trading Analytics

BakerHostetler

SEC Eyes Work-From-Home Pitfalls in Crackdown on Insider Trading and Off-Channel Communications

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The new flexible work environment created in the post-pandemic years poses unique challenges for companies and individuals who work outside a traditional office. The SEC knows this and is actively enforcing the securities...more

Vinson & Elkins LLP

Utilizing Data Analytics: SEC Harnesses the Power to Unveil Insider Trading Patterns and Prioritizes Egregious Cases

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On May 23, 2023, Rahul Kohlhatkar, Assistant Regional Director in the Division of Enforcement at the San Francisco Regional Office of the U.S. Securities and Exchange Commission (“SEC”), shared the stage with a group of...more

Jenner & Block

Client Alert: DOJ and SEC Used Data Analytics to Target Insider Trading with 10b5-1 Plans

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The DOJ and SEC have made no secret of their interest in combatting potential insider trading by high-level executives misusing Rule 10b5-1 plans. Those plans provide a potential safe harbor for executives trading their...more

Foley Hoag LLP - White Collar Law &...

The DOJ, SEC, Insider Trading, and Data Analysis

A year ago, the Department of Justice (“DOJ”) and the Securities and Exchange Commission (“SEC”) heralded data analytics in announcing parallel insider trading actions against a senior executive at a pharmaceutical company...more

Goodwin

SEC Focuses on Insider Trading and Leverages Market Analytics in Recent Slew of Enforcement Cases

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​​​​​​​On July 25, 2022, the U.S. Securities and Exchange Commission (“SEC”) announced insider trading charges against ten individual defendants across four separate cases (Bhardwaj, Goel, Markin, and Buyer), filed in the...more

BakerHostetler

SEC Brings Flurry of Insider Trading Cases Using Market Analytics

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On July 25, 2022, the Securities and Exchange Commission (SEC or the Commission) made headlines announcing insider trading charges against 10 individuals across four separate cases, signaling an increased and renewed focus on...more

Holland & Knight LLP

SEC Continues Use of Data Analytics to Aid Enforcement Investigations

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The U.S. Securities and Exchange Commission (SEC) charged nine individuals with insider trading in three separate actions on July 25, 2022, alleging the misconduct resulted in ill-gotten gains totaling more than $6.8 million....more

Ankura

How SEBI Can Use Advanced Analytics to Curb Insider Trading

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There have been several reports of recent crackdowns by India's capital markets regulator, Securities and Exchange Board of India (SEBI) on companies and individuals that were found to be involved in insider trading, front...more

Holland & Knight LLP

Domino's Fall for Former Executive Accused of Insider Trading

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The SEC recently announced the filing of a settled action against Bernard L. Compton, a former Domino's Pizza executive accused of insider trading. The case, though somewhat typical in its facts, highlights two of the SEC's...more

Morgan Lewis

SEC Enforcement and Public Companies – 2020 Key Cases and What We Expect in 2021

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Most media accounts suggest that the incoming Biden administration will usher in a more “aggressive” SEC enforcement posture, with renewed emphasis on investigating potential fraud and controls deficiencies at public...more

Morgan Lewis

SEC Speaks 2016: Enforcement Panels Double Down on Use of Data Analytics

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Data collection and analysis continue to impact SEC’s approach to enforcement. The increasing use of data analytics to jump-start investigations and enforcement efforts dominated the panel discussion at this year’s...more

Dorsey & Whitney LLP

SEC Files It's First Robocop Cherry Picking Action

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When the SEC announced it financial fraud task force and a related data initiative to facilitate the identification of situations where the company “cooked the books,” many dubbed the data program “Robocop.” While the SEC may...more

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