Securities and Exchange Commission (SEC)
SEC heralds new auditor focus with EY lobbying fine
Auditors can expect more attention in the months to come
SEC enforcement priorities for the second half of 2014
US regulator will focus on technology, investor information and settlements
The introduction and advent of structured products in the US
Sponsored interview: Morrison & Foerster
Conflict resolution was lacking at Paradigm, expert says
Inadequate conflict resolution led to SEC whistleblower retaliation case
SEC fears US banks still tied to non-guaranteed units
Agency powerless to address 'implicit guarantees' says chairman Mary Jo White
Co-op hires values and ethics head, and other recent job news
Member of UK's Equality and Human Rights Commission joins Co-op
Whistleblower costs will rise further for Paradigm Capital
SEC whistleblower case will bring more than just monetary fine
SEC silence on swap spread Sef trading frustrates market
Packages are now subject to CFTC rules, but involve SEC-regulated legs
US appeals court ruling on Citi settlement ‘too late’
Overturning judge's rejection of Citi settlement won't have much impact
More 'adult supervision' needed, SEC's Muoio tells conference
Regulation the main topic at Structured Products Americas
SEC reveals ‘two-pronged’ approach to policing notes
Big data and industry experts help unit bring enforcement actions
Ex-CFTC commissioner joins US law firm, and other recent job news
Bart Chilton leaves CFTC for DLA Piper
Salt Rock: US/UK regulatory equivalence a challenge
Hedge fund managers need to get used to compliance burden
Dark pool operators face up to new regulatory attention
Caps and limits likely for private exchanges
SEC slammed by own commissioner for RBS Libor step-down
Big banks 'too big to bar', says commissioner Kara Stein
SEC probes retail hedge fund liquidity
So-called multi-alternatives are growing rapidly - too rapidly for some sceptics
Icap announces group chief risk officer, and other recent job news
Wendy Phillis joins from State Street Global Markets
'40 Act no panacea for raising hedge fund assets
Compliance costs major hurdle to achieving critical mass
SEC mistaken to assume ETNs are retail products, say critics
Regulator urged to focus on sophisticated and institutional investors
Leder returns to SEC in cross-border role, and other recent job news
Paul Leder rejoins after 14-year stint in private practice
SEC writes to banks on ETN concerns
Banks requested by SEC to revamp investor message on ETNs
People: RBS strategic review alarms senior staff, say recruiters
RBS expected to refocus on core businesses and home markets - investment bank could shrink further; new faces at the SEC; Mahmud takes top forex post at Citi; client execution hires at UBS; Aviva Investors replaces Ikram
Issuers change their tune on structured note disclosures
Open to disclosure
Bank of England to lay off up to 100 staff, and other recent job news
Changing hats – March 2014