Securities and Exchange Commission (SEC)
House of the Year, Americas: Citi
Structured Products Americas Awards 2012
Structured Products Americas: SEC will turn up the heat on the market, says leading lawyer
The US SEC is highly sceptical of the structured products market and higher regulatory standards are on their way, says lawyer
New deputy enforcement head at SEC
New York office chief George Canellos moves to Washington, DC
People: Royal Bank of Scotland lets Stuff go
Royal Bank of Scotland lets Stuff go
Whistleblowers given more incentive in US than UK
When the whistle blows
Banks offer short-term plays on natural resources
Royal Bank of Canada leads the offering of short-maturity structured products in the US public market with 12 products, half of which have maturities of just three months
SEC appoints associate investment director
Blizzard replaces Robert Plaze
Sigtarp appoints special inspector general
Christy Romero appointed after approval from President and Senate
Market snapshot
Market snapshot
Technology, natural resources and banks fuel reverse convertibles rush
Fourteen reverse convertibles, mostly from UBS, one autocallable and two leveraged return notes make up the latest batch of structured products to be filed with the SEC
SEC subpoenas Wells Fargo in fraud investigation
Bank accused of failing to provide necessary evidence
Credit Suisse joins the technology trend with Apple straddle
UBS and Credit Suisse have both filed products based on the performance of Apple shares with the SEC. Half of the latest products registered with the regulator are leveraged return notes
Bank of Montreal offers plethora of reverse convertibles in the US
Thirty-five new structured products were listed with the US SEC yesterday, led by a glut of supply from Bank of Montreal
CME to launch portfolio margining on interest rate swaps and futures
Dealers will be able to cross-margin interest rate swaps, and eurodollar and Treasury futures, from May
UBS offers lion's share of latest structured products registered in the US
Thirty-one structured products were registered with the US Securities and Exchange Commission on March 9, with UBS providing nine autocallables and reverse convertibles
Tenors get tastier as Bank of Montreal launches Abercrombie & Fitch reverse convertible
Fifty-two structured products were registered with the US Securities and Exchange Commission on March 7, maintaining the boost in issuance that began the previous day
SEC AML initiative not clearly defined, lawyer warns
SEC/CFTC Capital Markets Working Group could be "just another talking shop"
Volcker rule will not be ready for July, Fed chair admits
Expert predictions of delayed start date proven correct
US energy firms fear Dodd-Frank ‘swap dealer’ definition as decision looms
The US Commodity Futures Trading Commission (CFTC) is approaching a key point in the process of writing rules to implement the Dodd-Frank financial reform bill: its final definition of the terms 'swap dealer' and 'major swap participant'. Energy firms…
Changing hats, March 2012
Sharon Bowles retains her role as chair of Econ in the EU, while Rosalind Tyson retires from the SEC and Chartis appoints a new CRO
Hedge fund manager charged in Galleon insider-trading case
Douglas Whitman illegally profited from tips on Google and Polycom, SEC says
OCC: equity derivatives to get a cross-margin service
OCC: equity derivatives to get a cross-margin service
ETFs: moving beyond the synthetic-versus-physical debate
Under the microscope
UBS 'unethical' in mortgage-backed securities pricing
UBSGAM settles SEC mispricing charges for $300,000