Securities and Exchange Commission (SEC)
Regulators “don’t give a damn” about Volcker impact, claim Republicans
A bad-tempered congressional committee hearing sees US regulators quizzed over Volcker rule costs
Looking back: Regulators try to slow down OTC juggernaut
Today, regulation is a fact of life for OTC commodity derivatives traders. But in April 1994, it was somewhat novel, as Energy Risk reported at the time
CFTC cross-border guidance 'has the feel of a rule', lawyers agree
A rule by any other name
SEC names new chief of enforcement unit
New lead for SEC's complex financial instruments unit
SEC whistleblower retaliation protection ambiguous, lawyer warns
Protection for whistleblowers not clear cut
Systemic operational risk since the financial crisis
A year of huge fines and settlements has thrown new light on the importance of controls and conduct risk
SEC's Amy Starr: we are scrutinising ETNs
ETNs pose many of the same disclosure risks as structured notes and may be the subject of future guidance, suggested the SEC’s top structured products regulator and author of last year’s letter to US banks
Volcker rule offers good news and bad on hedging
Regulators strip out approval for portfolio hedging but give more freedom to market-making desks
Senator Crapo urges Dodd-Frank tweaks and CFTC-SEC merger
United Senate?
SEC extends interim CDS portfolio margin rule
Buy-side firms angry about continuing margin disparity and uncertainty
SEC targets ‘protected’ and ‘guaranteed’ fund names
After criticising the use of the term “principal protected” in structured notes, the SEC turns to ETFs and mutual funds that promise protection from loss in their names
Structured products can underperform a simple stock and bond portfolio, study finds
A group of PhDs churned through 18,000 structured products issued by 13 leading banks, including Barclays, Goldman Sachs and UBS, to find out what investors in the products earned. In November, they published their results. Yakob Peterseil talks to one…
Kill switches may lead to systemic risk, expert warns
Recent calls for kill switches may be misguided
Risk USA: Hire more quants in compliance, says SEC official
SEC official warns compliance teams at quant funds lack qualifications and knowledge to effectively monitor trading strategies
Whistleblowing: the case for financial incentives
UK authorities are edging closer to offering bounties to encourage whistleblowers
Leveraged ETFs under the spotlight
Imperfect storm
Leveraged ETFs dodge blame for volatility
Tempest in a teapot?
SEC at odds with Finra over Pip data
Agree to disagree
US broker-dealers face higher costs from new customer care standard
Uniform fiduciary standard may raise the bar for investment advisers and broker-dealers
JP Morgan fined $920m over 'woefully deficient' London Whale controls
UK and US authorities fine bank over $6.2 billion trading losses in July 2012
SEC under fire over no-fault settlement agreements
An open verdict
Linn Energy SEC inquiry sparks hedge accounting debate
Linn Energy, once fêted as a leader in risk management, is under scrutiny by US regulators for its derivatives accounting practices – something that is casting a shadow over other master limited partnerships in the upstream oil and gas business, finds…
Single-name CDS clearing held up by fears over SEC regime
Temporary rules for portfolio margining by clients are set to expire in December. Hedge funds say they will stay on the sidelines until they know what happens next