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    1. 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 reached...

    2. 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 a...

    1. 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 market. The...

    2. 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 over-the-counter...

    3. 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...

    4. 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...

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      Goldman Sachs has withdrawn an application to have a $1bn lawsuit filed by the Libyan Investment Authority, a former client,...

    6. 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,...

    7. 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...

    8. 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 Mathew...

    9. 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 not...

    10. 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 “dark...

    11. 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 system...

    12. 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...

    13. 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 a...

    14. 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 a US...

    15. 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 financial...

    16. 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...

    17. 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 from a...

    18. 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 the...

    19. 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...

    20. 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 to...

    21. 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 halt...

    22. August 22, 2012

      Sunshine rules

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

    23. 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 as...

    24. 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 must be...

    25. May 11, 2011

      Google sets aside $500m for US probe

      Google has put aside $500m to settle a US investigation into its advertising practices, marking a sharp intensification of...

    26. May 6, 2011

      Goldman chief rebuffs resignation talk

      Lloyd Blankfein on Friday dismissed speculation that he was planning to step down as chairman and chief executive of Goldman...

    27. May 6, 2011

      Fears run high over effects of shorting curbs

      When it comes to white-knuckle rides on the Wall Street rollercoaster, it takes a lot to beat last May’s “flash crash”. That...

    28. May 6, 2011

      US exchanges eye harmonised pause rules

      Leading US exchanges have said that in discussions with the Securities and Exchange Commission they will probably harmonise...

    29. May 6, 2011

      Critics question real-time reporting proposal

      A proposal by US regulators to build a new real-time trade reporting system is still a “major source of debate”, a year...

    30. May 6, 2011

      Comment: Flash crash shows flaws in human behaviour

      It has been one year since US investors were spooked by the so-called “flash crash.” Could it happen again? Yes, it could....

    31. May 5, 2011

      Fears linger of new ‘flash crash’

      In the space of just 20 minutes a year ago on Friday, Wall Street tumbled hundreds of points, dumbfounding dealers, only to...

    32. May 5, 2011

      Congress calls hearing on private share market

      A congressional hearing on private share markets, featuring the chair of the SEC, has been set for next week as part of a...

    33. May 4, 2011

      UBS pays $160m to settle US bid-rigging charges

      UBS has agreed to pay $160m to settle allegations by the Department of Justice and the Securities and Exchange Commission...

    34. May 4, 2011

      DoJ reviews Goldman Sachs report

      US prosecutors are reviewing the findings of a Senate report that found Goldman Sachs misled clients buying mortgage-related...

    35. May 1, 2011

      Dealers see delay for swaps reforms

      Derivatives dealers and investors have told US regulators it could take up to two-and-a-half years to implement rules being...

    36. May 1, 2011

      Mea culpa fails to dull the Buffett sparkle

      The Sage speaks: Warren Buffett addresses a press conference before his company’s annual general meeting Were they a few...

    37. April 27, 2011

      Extra time granted on US reforms

      Derivatives dealers and users will have more time to weigh in on financial reforms and the chance to argue for a slow...

    38. April 26, 2011

      Ex-Santander analyst settles SEC charges

      A former Santander employee embroiled in an insider trading scandal around BHP Billiton’s failed bid for PotashCorp has...

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