Securities and Exchange Commission (SEC)
UBS Securities fined $8 million for inaccurate recording practices
UBS Securities has been fined $8 million by the SEC for inaccurately recording 'locates' information
Flowers defends MF Global as a ‘prudently run’ securities firm, despite Chapter 11 filing
JC Flowers head says reliance on short-term funding is a weakness of whole securities industry – not just MF Global. He adds a worsening eurozone crisis could lead to investment opportunities in troubled banks
Energy Risk Trading positions – November 2011
Energy Risk catches up with the latest appointments, promotions and departures in global commodity markets
Sefs in stasis as final rules edge closer
Sefs in stasis
In defence of cross-product margining
In defence of cross-product margining
Risk USA: Tarp compensation restrictions are a "sideshow", says Feinberg
Former Tarp special master doubts limits will change compensation behaviour
Risk USA: Regulators need different focus to risk managers, says SEC risk adviser
Different approaches taken by regulators and risk managers are justified, according the SEC’s Gregg Berman
US SEC slams Finra for altering documents
Finra must improve after misleading regulator, order says
CFTC analysis of Dodd-Frank costs 'non-existent', says Sommers
Costs and benefits of proposals were not properly studied, according to CFTC commissioner Jill Sommers - a failing that could expose its rules to legal challenges, lawyers warn
SEC appoints two trading and markets associate directors
The US Securities and Exchange Commission has named heads of regulation for derivatives policy, and clearance and settlement
FBI arrests Gupta in Galleon insider-trading case
Rajat Gupta surrendered to the FBI on October 26 after being accused of leaking information to Galleon founder Raj Rajaratnam
Finra fines UBS $12 million for failing to adequately supervise short sales
Fine from Finra is latest indicator of UBS's control and supervisory issues
The Hartford appoints Rupp as chief risk officer
Fortune 500 group The Hartford appoints new executive vice-president and chief risk officer
CFTC will publish its own Volcker rule language, says Sommers
Supervisor will publish its own Volcker rule for consultation – although little progress has been made so far, says CFTC commissioner
Citigroup settles CDO charges for $285 million
The SEC has ordered Citigroup to pay $285 million to settle charges relating to a short position taken against its own CDO investors
Esma outlines aims for regulatory consistency
Consistent effort
SEC charges former UCB executives with misleading investors
SEC charges former UCB executives with failing to disclose losses that led to the bank crashing in 2009
Former hedge fund manager settles charges in Galleon insider-trading case
Former hedge fund manager Steven Fortuna will pay $300,000 to settle charges in the Galleon Management insider-trading case
US regulators ask DOE lab to study flash-crash forecasting tool
US regulators enlist Department of Energy computing power to analyse metric that aims to predict catastrophic market events
Washington watchdog sues SEC for destroying investigative files
Government watchdog CREW has sued the SEC and its chair Mary Schapiro for purging documents related to probes of suspected wrongdoing at financial institutions
SEC report reveals failings at top three rating agencies
A report released by the US SEC reveals S&P, Moody's and Fitch all still have significant failings in their operations
CFTC and SEC facing legal anxiety over cost-benefit analyses
Cost-benefit paralysis
RBC Capital to pay $30.4 million to settle charges
RBC Capital is charged with misconduct in the sale of CDOs by the SEC
SEC could sue Standard & Poor's over faulty CDO rating
The SEC may charge Standard & Poor's with breaking federal security laws in its rating of a 2007 CDO.