Securities and Exchange Commission (SEC)
Changing Hats, April 2011
The latest movers and shakers in operational risk
UBS faces investigations over Libor manipulation
Has received subpoenas from several international authorities
SEC charges hedge fund managers with abusing client assets
New York SEC director says two managers “violated the most fundamental duties of an investment adviser"
Experts discuss need for commodity speculation
Squeezing out speculative capital will affect commodity market liquidity, regulator must engage with market to prevent unintended consequences
AXA Rosenberg to pay $240m after failing to disclose coding errors
AXA Rosenberg pays $240m for failure to disclose code errors
SEC charges hedge fund four over insider dealing
Four US hedge fund managers accused of insider dealing
SEC charges IndyMac execs with securities fraud
SEC charges IndyMac three top execs with securities fraud
McKessy rejoins SEC to head whistleblower office
Former enforcement counsel named to head new office
SEC goes after IndyMac executives
Chief executive and two CFOs charged with fraud in run-up to mortgage lender's 2008 collapse
FDIC shows hand on remuneration rules
FDIC shows hand on remuneration rules
New York lawyer pleads guilty in Galleon insider-trading case
NY lawyer pleads guilty in Galleon case
Changing Hats, February 2011
The latest movers and shakers in operational risk
Goldman Sachs airs risk laundry, publishes report on operations review
Goldman Sachs report airs dirty risk laundry
Henry Hu drives change at the SEC
The game changer
US regulation update
Caught in the net?
Hedge fund of the year: Paulson & Co
Risk awards 2011
Hu takes leave of the SEC
The Fin man
Bank of America settles for $137 million over municipal bond auction fixes
Bank of America settles for $137 million over municipal bond auction fixes
Legal adviser to Kenneth Starr charged by SEC with aiding fraud
US SEC goes after Kenneth Starr’s lawyer
Operational infrastructure at hedge funds comes under closer scrutiny
Behind the facade
Ernst & Young faces court over Lehman's repo scheme
New York attorney-general Andrew Cuomo sues accountants for signing off bank's plan to hide leverage
Dealers confident of Volcker rule exceptions
Exceptions to the rule