Securities and Exchange Commission (SEC)
Merrill fined $1 million over conflicts of interest
Losses & Lawsuits
SEC charges two over $500m "brazen" fraud
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New SEC chair seeks to clean house
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SEC charges Stanford with $8 billion fraud
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SEC charges Stanford with fraud
The US Securities and Exchange Commission (SEC) has charged R Allen Stanford with orchestrating a fraud of a "shocking magnitude" via his asset management and broker-dealer advisory companies under the Stanford Group name.
SEC incompetence and secrecy over Madoff enrages Congress
The fraud examiner who spent eight years warning about Bernard Madoff's alleged Ponzi scheme has blamed institutional incompetence within the Securities and Exchange Commission (SEC).
Merrill Lynch fined $1 million for conflicts of interest; BoA picks up the tab
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SEC charges fugitive trader for hedge fund fraud
Losses & Lawsuits
SEC sues Blackstone exec for insider trading
Losses & Lawsuits
US agriculture committee plans to ban naked CDSs
The US House of Representatives Committee on Agriculture has published a draft bill seeking to limit the holding of credit default swap (CDS) contracts to market participants owning the bonds of the reference entity in question.
Quantitative tests pointed to Madoff fraud, says Riskdata
Sophisticated investors expressed shock at the alleged $50 billion fraud by New York-based broker and fund manager Bernard Madoff, yet even relatively simple quantitative analysis should have raised red flags, according to research by London-based…
Fund manager charged over 14-year-old Ponzi scheme
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GAO report calls for US regulatory reformation
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Kroeker steps up to succeed Hewitt at SEC
The US Securities and Exchange Commission has named James Kroeker to succeed Conrad Hewitt as acting chief accountant.
SEC in the dock as Congress investigates Madoff fraud
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Congress questions SEC competence as Madoff investigation begins
US Congressmen have voiced scepticism about the Securities and Exchange Commission's (SEC) plans to investigate internal failings over the Bernard Madoff fraud case and explore whether numerous opportunities to identify the $50 billion swindle were…
SEC: fair value not to blame for financial crisis
Fair-value accounting did not play a substantial role in the downfall of large financial institutions last year, according to a report by the US Securities and Exchange Commission (SEC) released on December 30.
CME awaits SEC approval for CDS clearing
The launch date for the Chicago Mercantile Exchange (CME) Group's credit default swap (CDS) clearing platform remains unclear, almost two weeks after it received the green light from two US financial regulators.
Obama promises 'detailed plan' for US regulatory overhaul
Regulatory News
SEC Catches out Haitian Ponzi
Losses and Lawsuits
Regulators and Industry Reel after $50bn Madoff Fraud
Losses and Lawsuits
Brought to account
Conrad Hewitt, chief accountant of SEC, talks to Alexander Campbell
Obama names next heads of SEC and CFTC
US president-elect Barack Obama has named the next leaders of the Securities and Exchange Commission (SEC) and Commodity Futures Trading Commission (CFTC) following his call for "a 21st century regulatory framework to ensure a crisis like this can never…
Finra CEO to take over at SEC
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