Securities and Exchange Commission (SEC)
SAC Capital’s record fine is warning to hedge funds
Hedge funds to review procedures and systems following SAC's $614 million fine
Ice blames SEC as it drops single-name CDS clearing plans
Firms that trade index and single-name CDSs will see margin requirements increase
Active ETFs: can they break into the mainstream?
Despite the lifting of a moratorium by the Securities and Exchange Commission last December, active ETFs have more hurdles to overcome before they're ready for the mainstream. Skittishness from the US regulator isn't helping, writes Yakob Peterseil
SEC's last-minute CDS margin fix sparks buy-side anger
Stop-gap margin solution would force most firms to post twice as much collateral as CCP members
SEC says crucial information being withheld from investors in structured notes
In its latest letter, the SEC orders banks to highlight the difference between fair market value and issue price to help investors see what their investment is worth
SEC scrutiny blamed for stifling active ETF market
Despite lifting a moratorium on reviewing actively managed ETFs that use derivatives, the US Securities and Exchange Commission still imposes long waiting periods on product approvals
Changing hats – March 2013
Changing hats – March 2013
SEC names Hoecker inspector general
Carl Hoecker appointed permanent successor to David Kotz
SEC closes in on sweep guidance for structured notes estimated value disclosure
The SEC will soon send issuers final guidance on structured note valuation disclosure, following a sweep letter sent last April
Obama appoints White as head of SEC
Mary Jo White to replace Elisse Walter, following Schapiro’s resignation in December 2012
Iosco-SEC spat dims hopes of new regulatory framework
SEC slaps down Iosco report, undermining hopes for a new approach to cross-border regulation
SEC names market intelligence head
Vincente Martinez returns to succeed Sporkin
Egan-Jones becomes first rating agency to be barred by SEC
Smaller agency blocked from rating ABS and sovereign debt
People: Credit Suisse reshuffles its global pack
Credit Suisse reshuffles the global pack
First Libor fines point the way for harsher regulation
Getting tough
Changing hats – February 2013
Changing hats – February 2013
SEC’s director of enforcement to leave
Fifth senior employee to depart SEC following resignation of SEC's chair
Chief of staff is latest to leave SEC
Didem Nisanci follows stream of departures from US regulator
Top 10 operational risks for 2013
Old and new dangers
SEC appoints chief information security officer
Todd Scharf made chief information security officer at the SEC
Schapiro resignation not linked to lawsuit, SEC says
SEC chair Mary Schapiro steps down a week after former inspector-general files $20 million lawsuit against the agency
SEC management under fire again in $20m lawsuit
Former chief investigator sues US regulator for harassment and unfair dismissal
Report blames Corzine’s strategy for MF Global collapse
Chief executive of collapsed broker at fault for risky strategy that destroyed company, House subcommittee says
CFTC still facing tough to-do list
Regulator has finalised 39 rules but 14 remain at proposal stage - including six that have been outstanding for more than 500 days