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    1. 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...

    2. 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...

    Special Reports

    1. FT 300 Top Registered Investment Advisers

      The inaugural edition of the FT 300 list begins by asking what makes a top-quality adviser...
    2. FT 400 Top Financial Advisers

      Top US financial advisers have seen their assets under management jump. Large numbers ...
    Search more Special Reports on this topic.

    1. 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...

    2. 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...

    3. 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...

    4. 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...

    5. 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...

    6. 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...

    7. 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...

    8. 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...

    9. 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...

    10. 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...

    11. 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...

    12. 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...

    13. 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...

    14. 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...

    15. 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...

    16. 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...

    17. 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...

    18. 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...

    19. 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...

    20. 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...

    21. 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...

    22. 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...

    23. 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...

    24. April 20, 2015

      Investors fight for greater say on boards

      A campaign to win shareholders a greater say over who sits on corporate boards has exposed a rift between some of the...

    25. April 20, 2015

      Volcker urges UK-style regulatory reforms

      Paul Volcker, former head of the Federal Reserve, has issued a radical call for the US to follow the UK’s lead by...

    26. April 15, 2015

      Ernst & Young to pay $10m over Lehman accounting

      Ernst & Young will pay a $10m penalty for allegedly helping Lehman Brothers hide its precarious financial situation, marking...

    27. April 12, 2015

      Actively managed exchange traded funds are the NextShares big thing

      Actively managed exchange traded funds are a hot topic in the asset management industry these days. To date, most ETFs have...

    28. April 10, 2015

      Bats may open doors for illiquid stocks by closing them

      It is not often a new chief executive, just 10 days into his job, tells his customers to go and use a rival’s product. That...

    29. April 9, 2015

      BATS wants to remove illiquid stocks from its exchanges

      BATS Global Markets, the second-largest US stock exchange operator by volume, wants to turn away illiquid stocks from its...

    30. April 8, 2015

      Defender of market complexity leaves SEC

      Gregg Berman, one of the US securities markets key regulators, is to leave his role assessing the controversial practice of...

    31. April 1, 2015

      Lynn Tilton launches SEC legal challenge

      Lynn Tilton, a self-styled “turnaround queen” of ailing companies, has wasted no time in fighting charges that she misled...

    32. March 30, 2015

      Lynn Tilton charged with misleading investors

      Lynn Tilton, a self-styled “turnaround queen” of distressed debt, is facing fraud charges for allegedly hiding the poor...

    33. March 30, 2015

      US banks target Elizabeth Warren’s ‘rogue’ watchdog

      Banks are waging a fierce lobbying campaign against a consumer watchdog championed by Elizabeth Warren, the crusading...

    34. March 27, 2015

      Macquarie pays $15m to settle SEC charges

      The Securities and Exchange Commission has charged Macquarie Capital with backing a US share-sale by a Chinese coalminer,...

    35. March 27, 2015

      Goldman Sachs returns to political centre stage

      Poor Lloyd Blankfein. Having survived the slings and arrows of the financial crisis, Rolling Stone magazine and the...

    36. March 26, 2015

      Omega Advisors probed over share trading

      Leon Cooperman, founder of the $12.7bn hedge fund Omega Advisors, has defended his stock research practices, after receiving...

    37. March 26, 2015

      Regulators crack down on auto loan abuse

      Auto dealers and lenders in the US and Canada have been hit with 252 enforcement actions over the past year for deceptive...

    38. March 25, 2015

      High-frequency trading firms face tougher oversight

      US regulators have moved to close a loophole that allows some high-frequency trading firms that trade equities away from...

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