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    1. July 5, 2015

      Officials at SEC debate high-profile fines in public

      A remarkable public debate has broken out among top officials at the US regulator over whether the watchdog acted unfairly...

    2. June 21, 2015

      The week: June 22

      ● Global regulators gathered in London last week and sounded a retreat on controversial plans to classify large asset...

    Special Reports

    1. FT 400 Top Financial Advisers

      Top US financial advisers have seen their assets under management jump. Large numbers ...
    2. FT 300 Top Registered Investment Advisers

      As the financial crisis recedes and wealthy investors stand on the brink of another le...
    Search more Special Reports on this topic.

    1. June 21, 2015

      ‘Compliance officers feel they have a target on their backs’

      A leading US regulator has called for clarification of the rules covering the roles and responsibilities of compliance staff...

    2. June 18, 2015

      SEC endorses UK rules on banker accountability

      One of the most powerful US regulators has endorsed UK rules that will hold senior managers of financial firms to account...

    3. June 18, 2015

      Proposed rule by US Department of Labor could put an end to commission

      A recent proposal by the US Department of Labor (DOL) would bestow fiduciary status on most financial advisers. That could...

    4. June 18, 2015

      Methodology: FT 300 Top Registered Investment Advisers

      In assembling the FT 300 list, we assessed registered investment adviser (RIA) practices from the perspective of current and...

    5. June 18, 2015

      Robo consultants and fiduciary rules will benefit clients

      Investment advice in the US has evolved since the financial crisis, becoming more sophisticated and accessible. Leading the...

    6. June 14, 2015

      Financial regulators target high-profile cases

      Financial watchdogs across three continents are targeting fewer, high-profile cases to levy ever-larger fines, despite...

    7. June 14, 2015

      SEC seeks views on ‘shocking’ auditor relationships

      Companies could soon be forced to disclose the length of their relationships with auditors amid concern that accounting...

    8. June 5, 2015

      SEC secures $190m from CSC over fraud

      US authorities secured a $190m payment from Computer Sciences Corporation and the return of $3.7m in compensation from its...

    9. June 4, 2015

      SEC sues Bulgarian trader over bogus Avon bid

      The US Securities and Exchange Commission has sued PTG Capital, the possibly fake company that made a bogus bid for Avon in...

    10. June 2, 2015

      US senator Elizabeth Warren accuses SEC boss of weakness

      Liberal discontent over the Securities and Exchange Commission has burst into the open with Elizabeth Warren, a US senator,...

    11. June 2, 2015

      BofA’s Merrill fined $11m over short selling

      The Securities and Exchange Commission has fined Bank of America’s Merrill Lynch unit $11m for failing to keep proper...

    12. May 31, 2015

      Movers & shakers: June 1

      ● Andrew “Buddy” Donohue is returning to the Securities and Exchange Commission as chief of staff in June after leaving...

    13. May 31, 2015

      SEC issues fresh warning to private equity

      The US regulator has issued a fresh warning to the $3.5tn private equity industry to expect more fines and enforcement...

    14. May 28, 2015

      Finance must blow the whistle on foul play

      Four years ago, I received a phone call from a mysterious man keen to talk about Deutsche Bank’s accounts. Initially I was...

    15. May 28, 2015

      Greater scrutiny may drive away retirement plan advisers

      The choice of retirement plan adviser has long been a matter for companies, and unlikely to be of interest to most...

    16. May 27, 2015

      JPMorgan told to provide communications with top Chinese official

      The US Securities and Exchange Commission has ordered JPMorgan to hand over any correspondence with Wang Qishan, one of the...

    17. May 26, 2015

      Deutsche Bank fined for misstating value of derivatives

      The Securities and Exchange Commission said on Tuesday that Deutsche Bank made material misstatements about a giant...

    18. May 24, 2015

      Shadow banks push for easing of loan caps

      A band of lenders within the shadow banking system is making a new push on Capitol Hill, seeking an easing of rules capping...

    19. May 24, 2015

      US regulator gets tough on asset managers’ shadow banking

      Asset managers will have to make unprecedented disclosures about their so-called “shadow banking” activities as part of new...

    20. May 22, 2015

      NYSE liquidity drive pushes midday auction

      The New York Stock Exchange plans to institute a midday auction in an effort to boost liquidity in thinly traded stocks. The...

    21. May 22, 2015

      Risks not reflected in bank fine reaction

      Washington seems to have lost the power to shock Wall Street. Punishments this week for yet more bad bank behaviour totalled...

    22. May 20, 2015

      BHP settles SEC probe into Beijing Olympics hospitality

      BHP Billiton has paid $25m to settle charges from the US Securities and Exchange Commission after the miner offered packages...

    23. FT Alphaville

      May 15, 2015

      FirstFT (the new 6am Cut)

      You can sign up to receive the email here. Beware the success of quantitative easing . Mario Draghi warned that policy...

    24. May 14, 2015

      Perella Weinberg banker accused of insider trading with father

      A senior banker at boutique investment firm Perella Weinberg was accused of helping his father make more than $1.1m through...

    25. May 14, 2015

      Avon hoax raises SEC filing questions

      The fake bid for Avon has put a spotlight on one of the mundane pieces of market plumbing that only gets attention when...

    26. May 14, 2015

      Avon’s mystery caller ramps up shares

      Shares in Avon Products, the world’s largest door-to-door cosmetics group, surged almost 20 per cent on Thursday and then...

    27. May 13, 2015

      Morgan Stanley admits to reporting lapses

      Morgan Stanley misled investors over the scale of its short positions for more than six years, according to the US Financial...

    28. May 12, 2015

      SEC lays fraud charges against ITT Educational Services

      ITT Educational Services and its executives engaged in a “campaign of deception” by hiding from investors the poor...

    29. May 11, 2015

      Wall St lobbyists fight retirement advice clampdown

      Wall Street lobbyists are seeking to shape a rule that threatens to overturn the $7.4tn-in-assets retirement savings...

    30. May 10, 2015

      US government warns hedge funds pose cyber risk

      Hedge funds are a weak link in the US financial system’s defences against hackers and terrorists, the Obama administration...

    31. May 10, 2015

      2014 was a bumper year for regulators

      France’s AMF issued its biggest-ever amount of financial penalties last year. The regulator said this demonstrated its...

    32. May 8, 2015

      Comment: SEC should make spoofing focus of markets meeting

      Until recently US regulators had one story about the 2010 flash crash. It was in a report Securities and Exchange Commission...

    33. May 7, 2015

      Asia volatility drives global investment banks

      China’s frothy equities markets have buoyed investment banks’ Asian divisions, with the volatility driving up first-quarter...

    34. May 5, 2015

      Brazilian regulator probes former Petrobras board members

      Guido Mantega, Brazil’s former finance minister, is being investigated by the country’s market regulators for misleading...

    35. April 29, 2015

      SEC chairman’s past as a defence lawyer haunts former clients

      Mary Jo White’s past as a defence lawyer for some of the world’s largest banks could come back to haunt certain financial...

    36. April 27, 2015

      Edward McMillan, banker and teacher, 1919-2015

      Half a century ago, Merrill Lynch secured its place as the leading stockbroker for individual Americans when its client...

    37. April 22, 2015

      Companies fall short on conflict minerals reporting, says Amnesty

      The majority of companies that have to file reports to the US financial regulator on their use of minerals mined in the...

    38. April 20, 2015

      DoJ pushes for foreign exchange deal with 5 banks in May

      The US Department of Justice is pushing for five banks, including JPMorgan Chase and Barclays, to resolve allegations they...

    Search for SEC and

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