Securities and Exchange Commission (SEC)
Fines to rise as regulators continue to punish misconduct
Repeated conduct failures lead to increase in average penalty amount
Athena price manipulation fine highlights risks of HFT
SEC fines HFT firm $1m for using algorithms to sway Nasdaq closes
'Revolving door' in full swing at top regulators
Three-quarters of senior SEC regulators move into private sector
Swap reforms force best execution rethink
Arrival of limit order books means old policies may no longer cut it
CFTC gripped by fiscal year-end hiring frenzy
Agency races to add staff by September 30 amid budget uncertainty
Big data drives US regulator, says senior official
Advanced data analytics plays major role in SEC risk assessment
Barclays hit with £47m in fines from UK and US regulators
Bank admits to system and control failings over £17bn in client assets
SEC quants find signs of ‘cherry picking’ at US hedge funds
Some accounts given more winning trades than others, says senior regulator
SEC announces creation of new risk office
New office will use data-driven tools to assist the US regulator
Neverending story: Why Libor scandal will last for years yet
Complex investigations and delays in trials over index rigging
SAC Capital trader jailed for insider trading
Lawyer warns hedge funds need better compliance procedures
Ex-SEC chair Walter joins Finra board, and other recent job news
Four new members for Finra board as existing members stand down
Rating agencies must report on controls under new SEC rules
Regulator announces reforms in response to financial crisis failings
Thailand allows foreign currency structured product issuance
Revision one of several set to boost local market participation
Bank of America to pay $16.65 billion for financial fraud
Record-breaking settlement between Bank of America and US federal and state entities
ETF providers take on pension and sovereign wealth challenge
Pension and sovereign wealth funds develop a taste for low-cost ETFs
Dale leaves Bank of England for BP, and other recent job news
Chief economist moves to oil giant
US regulators urged to accept dealers' use of affiliates
Officials should leave non-guaranteed trades alone, says former SEC chair
SEC heralds new auditor focus with EY lobbying fine
Auditors can expect more attention in the months to come
SEC enforcement priorities for the second half of 2014
US regulator will focus on technology, investor information and settlements
The introduction and advent of structured products in the US
Sponsored interview: Morrison & Foerster
Conflict resolution was lacking at Paradigm, expert says
Inadequate conflict resolution led to SEC whistleblower retaliation case
SEC fears US banks still tied to non-guaranteed units
Agency powerless to address 'implicit guarantees' says chairman Mary Jo White
Co-op hires values and ethics head, and other recent job news
Member of UK's Equality and Human Rights Commission joins Co-op