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
Craig Lewis to lead the SEC’s risk ‘think tank’
OR&R speaks to lawyers on both sides of the Atlantic to divine the implications of the largest insider-trading conviction of all time
SEC proposal to remove ratings shows difficulty ahead for other US regulators, including banking agencies
Regulators seek $1.4bn and $308m respectively, but $117m CFTC “user fee” apparently dropped
Consistency is key
Collaborating for change
All MSPs and swap dealers to hold minimum $20 million under CFTC proposals
Agencies largely aligned, but conflicts remain after 10-month negotiation
Switch of assets to trading book and subsequent sales meant to limit Basel III capital impact, says Citi's CFO
SEC chair says Dodd-Frank Act should be adapted to fit markets
SEC says actions of the two men "make it clear beyond any doubt they were involved in an illegal scheme"
SEC accuses Indian computer company that serves more than a third of the Fortune 500 companies of overstating its income by $1 billion
US SEC claims Wells Fargo Securities, formerly Wachovia Capital Markets, violated securities laws when selling CDOs tied to the ailing housing market
Special report: Dodd-Frank Act