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    1. July 8, 2015

      NYSE resumes after glitch halts trading

      The New York Stock Exchange managed to reopen shortly before its closing bell, more than three hours after an “internal...

    2. June 29, 2015

      SEC fines KKR nearly $30m over ‘broken’ buyout charges

      KKR is to pay nearly $30m to settle charges by the US Securities and Exchange Commission that it failed to disclose...

    1. May 26, 2015

      Unravelling ‘gap risk’ at Deutsche Bank

      The Securities and Exchange Commission on Tuesday found that Deutsche Bank had materially misstated the value of a...

    2. May 24, 2015

      US Senator Warren calls for hearings into bank waivers

      US Senator Elizabeth Warren and other lawmakers are calling for public hearings on whether banks accused of rigging...

    3. 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...

    4. 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...

    5. May 14, 2015

      How savvy asset managers can fend off the regulators

      When US politicians wanted to court voters after the global financial crisis, they knew who to attack: the “fat-cat...

    6. 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...

    7. 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...

    8. March 23, 2015

      Wrangling over reserves blurs US bank performances

      Next week, finance departments at US banks will start scurrying to produce their first-quarter earnings statement. If...

    9. February 5, 2015

      Chiefs fight shy of staff salary comparison

      We know how much money the chief executives of listed companies make, but we do not know how much more they earn than...

    10. January 30, 2015

      Mopping up after the mess at Petrobras

      Petrobras represents the best and worst of Brazil. Its technical competence is renowned and it has vast deep sea...

    11. January 15, 2015

      UBS fined $14m over dark pool disclosures

      UBS will pay $14.4m to resolve allegations that it failed to disclose information about order types for its dark pool,...

    12. December 14, 2014

      Dimon dials DC to divert derivatives action

      As the US Senate argued late into Friday evening and throughout Saturday, struggling to agree on a government spending...

    13. October 30, 2014

      Blow to asset managers in ETF arena

      The long-running war between the mutual fund industry and the burgeoning exchange traded fund sector appears to have...

    14. October 29, 2014

      High-frequency traders said to get SEC filings early

      The US Securities and Exchange Commission is reviewing how company filings made to the regulator are disseminated after...

    15. September 16, 2014

      The modern US share market

      Dark pools are coming into the spotlight as investors and regulators alike grapple with the advent of the modern...

    16. September 16, 2014

      Sense of urgency underpins fresh scrutiny of markets

      For the past five years, global policy makers have sought, with varying degrees of success, to reform the...

    17. August 21, 2014

      Brian Moynihan’s challenge to lift BofA’s revenues after $16.5bn fine

      When Brian Moynihan took over as Bank of America chief executive nearly five years ago, he had to focus on the past. A...

    18. August 21, 2014

      Bank of America to pay $16.65bn in mortgage case

      Bank of America agreed to pay a record $16.65bn to resolve allegations it misled investors in its mortgage-backed...

    19. August 19, 2014

      Goldman withdraws attempt to stop $1bn Libya fund dispute

      Goldman Sachs has withdrawn an application to have a $1bn lawsuit filed by the Libyan Investment Authority, a former...

    20. May 27, 2014

      US SEC’s lack of progress on reform rules frustrates officials

      The pace of passing major financial reform rules has slowed to a crawl at the US Securities and Exchange Commission,...

    21. May 20, 2014

      Cyber espionage concerns rise up US business agenda

      The number of companies reporting concerns about cyber security to US regulators has more than doubled in the past two...

    22. February 6, 2014

      Martoma guilty of insider trading

      US authorities notched up one of their biggest victories against Wall Street corruption when a New York jury found...

    23. February 2, 2014

      US brokers and fiduciaries romp in muddy middle

      Among the most underrated talents students can build at school is crafting sound and credible reasons for why they have...

    24. November 21, 2013

      US banks and exchanges discuss limit to ‘dark pool’ trading

      US exchanges and banks are discussing a new proposal to limit trading in controversial off-exchange venues such as...

    25. October 14, 2013

      SEC move on asset managers risks regulatory turf war

      The Securities and Exchange Commission’s move to seek opinions on whether asset managers pose a risk to the financial...

    26. September 19, 2013

      Regulators highlight JPMorgan ‘deficiencies’

      JPMorgan Chase on Thursday agreed to a $920m fine from US and UK regulators over last year’s “London whale” credit...

    27. August 19, 2013

      Falcone admits wrongdoing over funds

      Philip Falcone and his hedge fund Harbinger Capital Partners have agreed to pay more than $18m and admit wrongdoing in...

    28. July 28, 2013

      Nordea accused of silence over SEC investigation

      Former employees of Nordea have accused the Nordic region’s largest asset manager of failing to inform investors about...

    29. July 23, 2013

      Regulator turf war on access to EU bank books

      US regulators are demanding the right to probe books, records and emails at the headquarters of Europe’s biggest...

    30. June 26, 2013

      Compelling story of a poster boy’s spectacular crash

      The Billionaire’s Apprentice: The Rise of the Indian-American Elite and the Fall of the Galleon Hedge Fund By Anita...

    31. June 9, 2013

      SEC counsel faces whistleblower’s claims

      The new chief counsel to the Securities and Exchange Commission chairman is the subject of a discrimination complaint...

    32. June 5, 2013

      SEC proposes radical money markets reform

      The Securities and Exchange Commission has proposed sweeping changes to the structure of money market funds, setting...

    33. June 2, 2013

      Twitter’s regulatory problems flagged by compliance officers

      Compliance officers are quick to point out the regulatory problems that Twitter poses. Its speed makes it difficult to...

    34. May 12, 2013

      Regulators eye new way to spot market fraud

      Regulators from some of the world’s biggest financial centres are examining ways of analysing online news and comments...

    35. March 17, 2013

      Hedge funds’ reputation in the balance

      There is little ambiguity about the ultimate target of investigators and prosecutors in their seven-year campaign to...

    36. August 22, 2012

      Sunshine rules

      The US Securities and Exchange Commission on Wednesday passed two rules implementing sections of the Dodd-Frank...

    37. March 13, 2012

      White collared

      The true extent and costs of white collar crime are unknowable. That it is a serious problem, however, is indisputable...

    38. June 7, 2011

      Radicals are right to take on the banks

      This week Tim Geithner, US Treasury secretary, declared that the capital requirements in last year’s Basel III deal...

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