Securities and Exchange Commission (SEC)
Cost of op risk failings rising
Outlook: fines
Goldman Sachs hit by £17.5m reporting fine
Bank to pay UK regulator for failing to disclose SEC investigation
SEC mandate over rating agencies strengthened by Dodd-Frank
Closure of SEC investigation into Moody's demonstration of the regulator's new powers under Dodd-Frank
Market awaits details on SEFs
Keeping on top of the swaps
Dodd-Frank sees processing firm as 'swap execution facility'
Markit/DTCC joint venture will register as designated swap execution facility under US financial reform, despite having no plans for trade execution
Dodd-Frank: devil is in the detail on bonus transparency requirements
US banks must consider disclosure rules for CEO and median pay packages
Dodd-Frank sends banks on journey into the great unknown
The passing of the Dodd-Frank Act into US law signifies profound changes for banks and regulators. But how they should prepare now for the new legislation is still far from certain
HSBC faces money-laundering investigations by US regulators
Admits is is likely to face enforcement action
Ramsay named as SEC trading and markets deputy
US Securities and Exchange Commission appoints replacement for Gallagher
Regulators kick off derivatives reform discussion
Market participants call for clearing decisions to be left to market forces and caution regulators about clearing house ownership
FDIC creates new units as US regulators expand for Dodd-Frank systemic oversight
US regulators are hiring more staff in preparation for Dodd-Frank changes
Singapore bids to be Asian derivatives and clearing hub
Asian migration
Flash crash lessons learned: Interview with Bannert-Thurner
Now that the dust has settled after the extraordinary May 6 ‘Flash Crash’, Victor Anderson catches up with FTEN’s Valerie Bannert-Thurner to discuss how technology can help guard against future crises
Clearing dilemma for CCPs
Dealers have made progress towards clearing swaths of the over-the-counter derivatives market. But market participants are likely to have to clear more awkward products to satisfy regulators’ demands. Mark Pengelly investigates
Dodd-Frank Act signed but uncertainty remains
New legislation means more study and rule-makings needed, creating operational risks for banks
Goldman Sachs to pay $550 million to settle SEC lawsuit
US bank receives the largest fine the SEC has ever imposed on a financial entity
Partially protected: Dodd-Frank Act spares structured products
Registered advantages
Liquidity critical to OTC clearing, argue dealers
Regulators should consider liquidity when deciding which over-the-counter derivatives should be cleared, say market participants
Dealer-led market may be disrupted by Dodd-Frank
Banks could lose margins and competitive edge as a result of derivatives reforms in Dodd-Frank Act
Passage of Dodd-Frank Act heralds start of rule-making process
Financial reform legislation passes in the US Senate, as focus turns to the complex issue of implementation
Goldman's $550m payment is latest in a line of settlements
Goldman pays $550 million to settle charges of misleading customers on Abacus CDO
Shell Gas chief: end-users will face credit issues - Exclusive
Shell Gas Direct’s chief tells Energy Risk that major end-users’ credit worthiness will be one of four major challenges for industrial and commercial users in the next few years
SEC and exchanges to implement market-wide halt mechanisms in bid to prevent another flash crash
ETFs were particularly badly hit during the flash crash that hit the US stock market on 6 May. This occured due to withdrawal of liquidity from the market and the industry is now working to prevent a repeat.
Dodd-Frank: Abolition of OTS will boost OCC
OTS and OCC light-touch supervision grew bank assessment fees but fed institutional collapses