Securities and Exchange Commission (SEC)
SEC names Hoecker inspector general
Carl Hoecker appointed permanent successor to David Kotz
SEC closes in on sweep guidance for structured notes estimated value disclosure
The SEC will soon send issuers final guidance on structured note valuation disclosure, following a sweep letter sent last April
Obama appoints White as head of SEC
Mary Jo White to replace Elisse Walter, following Schapiro’s resignation in December 2012
Iosco-SEC spat dims hopes of new regulatory framework
SEC slaps down Iosco report, undermining hopes for a new approach to cross-border regulation
SEC names market intelligence head
Vincente Martinez returns to succeed Sporkin
Egan-Jones becomes first rating agency to be barred by SEC
Smaller agency blocked from rating ABS and sovereign debt
People: Credit Suisse reshuffles its global pack
Credit Suisse reshuffles the global pack
First Libor fines point the way for harsher regulation
Getting tough
Changing hats – February 2013
Changing hats – February 2013
SEC’s director of enforcement to leave
Fifth senior employee to depart SEC following resignation of SEC's chair
Chief of staff is latest to leave SEC
Didem Nisanci follows stream of departures from US regulator
Top 10 operational risks for 2013
Old and new dangers
SEC appoints chief information security officer
Todd Scharf made chief information security officer at the SEC
Schapiro resignation not linked to lawsuit, SEC says
SEC chair Mary Schapiro steps down a week after former inspector-general files $20 million lawsuit against the agency
SEC management under fire again in $20m lawsuit
Former chief investigator sues US regulator for harassment and unfair dismissal
Report blames Corzine’s strategy for MF Global collapse
Chief executive of collapsed broker at fault for risky strategy that destroyed company, House subcommittee says
CFTC still facing tough to-do list
Regulator has finalised 39 rules but 14 remain at proposal stage - including six that have been outstanding for more than 500 days
Dyson appointed deputy chief information officer at SEC
Dyson’s brief involves updating IT systems
OTC Derivatives Clearing Summit: Nearly a third of uncleared CDS are clearing-eligible
SEC study finds large portion of clearing-eligible CDS still trading bilaterally
Knight Capital losses spur focus on algo risk management
A dark Knight for algos
Fingerprint, aggregation fears hit swap dealer countdown
Prints and be damned
Anonymity for whistleblowers ‘may undermine programme’
Protecting whistleblowers is essential, says Sean McKessy, chief of the SEC's whistleblower programme
Publication of swap definitions triggers countdown to compliance deadline
The publication of swap definitions earlier this week initiates a 60-day countdown for compliance to key parts of the Dodd-Frank Act
New Esma ETF guidelines change the rules on securities lending in favour of synthetics
The latest European Securities and Markets Authority guidelines for Ucits ETFs will make life more difficult for physically backed ETFs and point to a growing acceptance of synthetic funds