Yvonne Pytlik · Global Economy Expert

2010 presents a historical moment to define the path forward to the ‘future of enterprise risk management and mitigation strategies’ of increasing compliance risk for asset managers. The recent financial crises and cases of material compliance violations, Ponzi schemes, fraudulent activities, misappropriation of investors’ assets and collapse of major financial firms have had significant, harmful impact on investors and shareholders. Serious compliance violations, such as insider trading, have proven to be self-destructive to asset managers. No one is immune to these trends. ‘Enterprise Ris…

Insider Trading: How Can Financial Firms Stop it?

Insider trading has been in the headlines again recently, with cases brought against the founder of Galleon Group and former directors at a Bear Stearns hedge fund.

Senior Editor Melanie Rodier spoke to Larry Tabb, founder and CEO of Tabb Group, and Yvonne Pytlik, managing partner, Global Compliance Risk Management Corp about what processes and technology financial firms can use to thwart insider trading.

Here is the link:
[wallstreetandtech.com];