Securities and Exchange Commission (SEC)
Whistleblower costs will rise further for Paradigm Capital
SEC whistleblower case will bring more than just monetary fine
SEC silence on swap spread Sef trading frustrates market
Packages are now subject to CFTC rules, but involve SEC-regulated legs
US appeals court ruling on Citi settlement ‘too late’
Overturning judge's rejection of Citi settlement won't have much impact
More 'adult supervision' needed, SEC's Muoio tells conference
Regulation the main topic at Structured Products Americas
SEC reveals ‘two-pronged’ approach to policing notes
Big data and industry experts help unit bring enforcement actions
Ex-CFTC commissioner joins US law firm, and other recent job news
Bart Chilton leaves CFTC for DLA Piper
Salt Rock: US/UK regulatory equivalence a challenge
Hedge fund managers need to get used to compliance burden
Dark pool operators face up to new regulatory attention
Caps and limits likely for private exchanges
SEC slammed by own commissioner for RBS Libor step-down
Big banks 'too big to bar', says commissioner Kara Stein
SEC probes retail hedge fund liquidity
So-called multi-alternatives are growing rapidly - too rapidly for some sceptics
Icap announces group chief risk officer, and other recent job news
Wendy Phillis joins from State Street Global Markets
'40 Act no panacea for raising hedge fund assets
Compliance costs major hurdle to achieving critical mass
SEC mistaken to assume ETNs are retail products, say critics
Regulator urged to focus on sophisticated and institutional investors
Leder returns to SEC in cross-border role, and other recent job news
Paul Leder rejoins after 14-year stint in private practice
SEC writes to banks on ETN concerns
Banks requested by SEC to revamp investor message on ETNs
People: RBS strategic review alarms senior staff, say recruiters
RBS expected to refocus on core businesses and home markets - investment bank could shrink further; new faces at the SEC; Mahmud takes top forex post at Citi; client execution hires at UBS; Aviva Investors replaces Ikram
Issuers change their tune on structured note disclosures
Open to disclosure
Bank of England to lay off up to 100 staff, and other recent job news
Changing hats – March 2014
Regulators “don’t give a damn” about Volcker impact, claim Republicans
A bad-tempered congressional committee hearing sees US regulators quizzed over Volcker rule costs
Looking back: Regulators try to slow down OTC juggernaut
Today, regulation is a fact of life for OTC commodity derivatives traders. But in April 1994, it was somewhat novel, as Energy Risk reported at the time
CFTC cross-border guidance 'has the feel of a rule', lawyers agree
A rule by any other name
SEC names new chief of enforcement unit
New lead for SEC's complex financial instruments unit
SEC whistleblower retaliation protection ambiguous, lawyer warns
Protection for whistleblowers not clear cut
Systemic operational risk since the financial crisis
A year of huge fines and settlements has thrown new light on the importance of controls and conduct risk