The US Securities and Exchange Commission has published the results of its latest investigation into the selling of structured products, two days after Finra warned 'greedy' investors to take care
Banks considering a variety of measures to identify proprietary trading and so meet the requirements of the Volcker rule, but none is foolproof, say dealers
CFTC finalises new Dodd-Frank anti-manipulation rule but energy experts continue to question its value
Some lawyers claim the CFTC and SEC may not have power to delay enforcement of the Dodd-Frank Act – a grey area that could lead to disputes
Efforts by Western regulators to monitor financial institutions are nonsensical and overambitious according to Jim O'Neill. He said emerging markets are the future of global economic growth.
The SEC has charged China Voice CFO and associates with fraud
Longtime Madoff employee Eric Lipkin is charged by SEC in connection with Madoff Ponzi scheme
The SEC appoints Craig Lewis as its chief economist and director of the risk, strategy and financial innovation division
Ex-Nasdaq managing director Donald Johnson has been charged by the SEC with insider trading
All you survey
Rise of the machines
Mission impossible for ratings
Attorneys criticise the division of regulation and the lack of detail on mixed swaps
Looking for true leverage
Former SEC and DoJ spokesman says uncertainty over new tactics is a powerful tool
mUrgent Corporation and three of its executives charged with $10 million fraud
Swiss bank charged with undermining the competitive bid process of municipal securities
Through a glass darkly
Reaching too far?
Day of the aggregators
The SEC and EU have announced tough measures designed to limit the influence of credit ratings on the investment process. Credit magazine talks to the agencies about their efforts to restore their reputations, and asks investors about what role rating...
Will oversee a staff of about 300 responsible for the inspections of US-based broker-dealers