Securities and Exchange Commission (SEC)
US judge rejects 'inadequate' settlement between SEC and Citi
Manhattan federal judge refuses to approve SEC settlement relating to Citi's negligence over 2007 CDO
Volcker rule delays likely as opposition grows
Rule may slip up to two years before full implementation, following criticism
Regulators increase pressure on individual negligence and crime
Getting personal
Long-time Madoff employee charged with fraud
SEC charges another Madoff executive for his role in the multi-billion dollar Ponzi scheme
SEC whistleblowing project pulls in seven tips a day
Foreign tips about financial crime unexpectedly common, ex-regulator says
OCC seeking change to rating ban in Dodd-Frank, reveals Walsh
Banking regulator talking to Congress about altering the Dodd-Frank Act to allow a limited use of credit ratings
Hedge fund managers charged in connection with multi-billion dollar Ponzi scheme
Two hedge fund managers have been charged by the SEC with facilitating a multi-billion dollar Ponzi scheme
UBS Securities fined $8 million for inaccurate recording practices
UBS Securities has been fined $8 million by the SEC for inaccurately recording 'locates' information
Flowers defends MF Global as a ‘prudently run’ securities firm, despite Chapter 11 filing
JC Flowers head says reliance on short-term funding is a weakness of whole securities industry – not just MF Global. He adds a worsening eurozone crisis could lead to investment opportunities in troubled banks
Energy Risk Trading positions – November 2011
Energy Risk catches up with the latest appointments, promotions and departures in global commodity markets
Sefs in stasis as final rules edge closer
Sefs in stasis
In defence of cross-product margining
In defence of cross-product margining
Risk USA: Tarp compensation restrictions are a "sideshow", says Feinberg
Former Tarp special master doubts limits will change compensation behaviour
Risk USA: Regulators need different focus to risk managers, says SEC risk adviser
Different approaches taken by regulators and risk managers are justified, according the SEC’s Gregg Berman
US SEC slams Finra for altering documents
Finra must improve after misleading regulator, order says
CFTC analysis of Dodd-Frank costs 'non-existent', says Sommers
Costs and benefits of proposals were not properly studied, according to CFTC commissioner Jill Sommers - a failing that could expose its rules to legal challenges, lawyers warn
SEC appoints two trading and markets associate directors
The US Securities and Exchange Commission has named heads of regulation for derivatives policy, and clearance and settlement
FBI arrests Gupta in Galleon insider-trading case
Rajat Gupta surrendered to the FBI on October 26 after being accused of leaking information to Galleon founder Raj Rajaratnam
Finra fines UBS $12 million for failing to adequately supervise short sales
Fine from Finra is latest indicator of UBS's control and supervisory issues
The Hartford appoints Rupp as chief risk officer
Fortune 500 group The Hartford appoints new executive vice-president and chief risk officer
CFTC will publish its own Volcker rule language, says Sommers
Supervisor will publish its own Volcker rule for consultation – although little progress has been made so far, says CFTC commissioner
Citigroup settles CDO charges for $285 million
The SEC has ordered Citigroup to pay $285 million to settle charges relating to a short position taken against its own CDO investors
Esma outlines aims for regulatory consistency
Consistent effort
SEC charges former UCB executives with misleading investors
SEC charges former UCB executives with failing to disclose losses that led to the bank crashing in 2009