Securities and Exchange Commission (SEC)
Lowrance charged with using investor funds for Ponzi scheme
Jeffrey Lowrance charged with using investor funds in a Ponzi scheme to fund start-up newspaper
Former chair of Taylor, Bean & Whitaker sentenced to 30 years
Lee Farkas, former chair of TBW, has been sentenced to 30 years and ordered to pay back $38.5 million
JP Morgan Securities charged with rigging municipal bonds
JPMS rigged at least 93 municipal bond reinvestment transactions in 31 states, SEC says
Regulator strengthens enforcement authority
CFTC finalises new Dodd-Frank anti-manipulation rule but energy experts continue to question its value
Regulators may not have authority to delay Dodd-Frank, warn lawyers
Some lawyers claim the CFTC and SEC may not have power to delay enforcement of the Dodd-Frank Act – a grey area that could lead to disputes
GSAM chairman condemns "regulatory nonsense"
Efforts by Western regulators to monitor financial institutions are nonsensical and overambitious according to Jim O'Neill. He said emerging markets are the future of global economic growth.
Libor fix?
At least 12 lawsuits alleging manipulation of Libor have been filed since April, and six different authorities – including the US Department of Justice – are investigating. But how would manipulation work in practice, and is there any evidence of it so…
Push for machine-readable contracts poses problems
Rise of the machines
Mission impossible for ratings
Mission impossible for ratings
CFTC/SEC swap product definitions 'irrational', say derivatives lawyers
Attorneys criticise the division of regulation and the lack of detail on mixed swaps
SEC appoints Lewis as director of RiskFin
The SEC appoints Craig Lewis as its chief economist and director of the risk, strategy and financial innovation division
SEC accuses China Voice founder of fraud
The SEC has charged China Voice CFO and associates with fraud
SEC charges Madoff employee with fraud
Longtime Madoff employee Eric Lipkin is charged by SEC in connection with Madoff Ponzi scheme
Former Nasdaq director Johnson charged with insider trading
Ex-Nasdaq managing director Donald Johnson has been charged by the SEC with insider trading
Criminal minds and increased surveillance
All you survey
Looking for true leverage
Looking for true leverage
Media-savvy US regulators may play on fear of wiretaps after Galleon success
Former SEC and DoJ spokesman says uncertainty over new tactics is a powerful tool
Banks worry over extraterritorial impact of Dodd-Frank
Reaching too far?
Dealers weigh Sef strategies
Day of the aggregators
New regulatory blitz threatens future of credit rating agencies
The SEC and EU have announced tough measures designed to limit the influence of credit ratings on the investment process. Credit magazine talks to the agencies about their efforts to restore their reputations, and asks investors about what role rating…
Firms face heightened op risk while implementing US CCP rules
Through a glass darkly
SEC charges three execs in California with boiler room fraud
mUrgent Corporation and three of its executives charged with $10 million fraud
UBS ordered to pay $160 million in fines by SEC
Swiss bank charged with undermining the competitive bid process of municipal securities