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
What Dodd-Frank means to us: industry participants
Hedge funds in the US have until July 21 to register with the SEC but Citigroup says over a third of the larger funds have not yet done so.
The latest movers and shakers in operational risk
New York SEC director says two managers “violated the most fundamental duties of an investment adviser"
Has received subpoenas from several international authorities
Squeezing out speculative capital will affect commodity market liquidity, regulator must engage with market to prevent unintended consequences
SEC charges IndyMac three top execs with securities fraud
AXA Rosenberg pays $240m for failure to disclose code errors
Four US hedge fund managers accused of insider dealing
Former enforcement counsel named to head new office