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Criminals Consistently Outflank Regulators

September 26, 2019 By Jeremy Jones, CFA

The slimier characters in the hedge fund industry will always find a way around the rules. Excessive regulation is not always effective regulation.

SEC investigates ETF use in insider trading by Kara Scannell, Financial Times

“The Securities and Exchange Commission is investigating whether Wall Street traders are using exchange-traded funds as a means of disguising insider trading…ETFs have emerged as a possible mechanism for maximising gains in one stock while potentially masking trading patterns, people familiar with the matter say…In one scenario, a trader could learn information about a company, buy an ETF that includes the company’s stock, and short sell the other stocks in the ETF.”

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Jeremy Jones, CFA
Jeremy Jones, CFA, CFP® is the Director of Research at Young Research & Publishing Inc., and the Chief Investment Officer at Richard C. Young & Co., Ltd. Richard C. Young & Co., Ltd. was ranked #10 in CNBC's 2019 Financial Advisor Top 100. Jeremy is also a contributing editor of youngresearch.com.
Latest posts by Jeremy Jones, CFA (see all)
  • Corporations Rush to Reap Equity Windfall - January 22, 2021
  • Investors Are Being Conditioned Not To Recognise the Danger - January 21, 2021
  • What Is the Stock Market’s Link to the Economy? - January 20, 2021

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