Securities and Exchange Commission (SEC)
SEC targets ‘protected’ and ‘guaranteed’ fund names
After criticising the use of the term “principal protected” in structured notes, the SEC turns to ETFs and mutual funds that promise protection from loss in their names
Structured products can underperform a simple stock and bond portfolio, study finds
A group of PhDs churned through 18,000 structured products issued by 13 leading banks, including Barclays, Goldman Sachs and UBS, to find out what investors in the products earned. In November, they published their results. Yakob Peterseil talks to one…
Kill switches may lead to systemic risk, expert warns
Recent calls for kill switches may be misguided
Risk USA: Hire more quants in compliance, says SEC official
SEC official warns compliance teams at quant funds lack qualifications and knowledge to effectively monitor trading strategies
Whistleblowing: the case for financial incentives
UK authorities are edging closer to offering bounties to encourage whistleblowers
Leveraged ETFs under the spotlight
Imperfect storm
Leveraged ETFs dodge blame for volatility
Tempest in a teapot?
SEC at odds with Finra over Pip data
Agree to disagree
US broker-dealers face higher costs from new customer care standard
Uniform fiduciary standard may raise the bar for investment advisers and broker-dealers
JP Morgan fined $920m over 'woefully deficient' London Whale controls
UK and US authorities fine bank over $6.2 billion trading losses in July 2012
SEC under fire over no-fault settlement agreements
An open verdict
Linn Energy SEC inquiry sparks hedge accounting debate
Linn Energy, once fêted as a leader in risk management, is under scrutiny by US regulators for its derivatives accounting practices – something that is casting a shadow over other master limited partnerships in the upstream oil and gas business, finds…
Single-name CDS clearing held up by fears over SEC regime
Temporary rules for portfolio margining by clients are set to expire in December. Hedge funds say they will stay on the sidelines until they know what happens next
Morgan Stanley loses retail structured products head
Copplestone exits Morgan Stanley
CFTC-SEC cross-border split could 'tarnish' US swap markets
Regulators "going in two different directions" says Republican senator – and may face fresh calls to be merged
Former SAC portfolio manager charged with insider trading
Further charges relating to insider trading at hedge fund SAC
Hedge fund compliance to 'ratchet up' after SAC indictment for insider trading
Managers look internally after fellow fund indicted on insider trading charges
Kroeker named as FASB vice-chairman
Former SEC chief accountant returns to regulation
Bribery laws pose compliance challenge for energy firms
Oil and gas firms still face compliance challenge from anti-bribery laws, despite court judgement against Dodd-Frank disclosure rules
CFTC names head of whistleblower office
Ehrman joins from SEC enforcement division
SEC lifts hedge fund ad ban amid some uncertainty
The Securities and Exchange Commission has voted to adopt the Jobs Act rules on advertising private offerings but hedge funds will have to jump through regulatory hoops to take advantage of the change
SEC needs to communicate better with whistleblowers, expert warns
Poor communication with whistleblowers could discourage people from coming forward, say legal experts
Gillette leaves SEC after 27 years
Head of Chicago regional office set to join law firm
FCMs split over capital for client clearing promises
Some banks believe capital is - or will be - needed to support guarantees to clients