Securities and Exchange Commission (SEC)
The top 10 operational risks to watch in 2011
Batten down the hatches
Two former Madoff employees arrested and charged with fraud
Madoff employees charged with creating false documents and trades, and misleading investors
Buckingham settles with SEC over charges of information misuse
Capital management firms settle with SEC over failing to prevent misuse of non-public information
SEC proposes hedge fund registration rules
Range of new disclosures includes business practices that may present significant conflicts of interest
SEC risk chief to step down
First head of regulator's risk division will return to academia in January
Market abuse and insider trading still seen as victimless crimes
Change of mentality needed to confront rise in insider trading says Baker Platt director
Risk USA: Pay bigger than politics, says former Treasury adviser
Risk managers need to look closely at compensation, declares former US Treasury adviser
Structured products face a battle of perception in the US
Forbidding landscape
Dealers confident on Volcker exemptions
Exceptions to the rule
Shining a light on the flash crash
Flash cordons
Copper boosts physically backed commodity ETF market
The physically backed commodity ETF market is set to grow with the inclusion of Copper as JP Morgan and Blackrock file with the SEC
Quote stuffing not to blame for flash crash, Berman insists
Lead investigator for SEC defends agency's findings
Hedge fund manager guilty of $7m insider-trading scheme
Joseph Contorinis used inside information about mergers and acquisitions to execute trades
Countrywide chief executive hit with record fine
Mozilo agrees $22.5 million settlement with SEC over charges of misleading investors
SEC appoints Thomas Bayer as chief information officer
The US Securities and Exchange Commission (SEC) has appointed Thomas Bayer as chief information officer.
IASB appoints Hoogervorst as new chairman
Hans Hoogervorst, Dutch former cabinet minister, has been appointed chair of the International Accounting Standards Board
Q&A: Jonathan Di Giambattista
Q&A: Jonathan Di Giambattista
Energy players voice concerns over Dodd-Frank timeline
US market participants say Dodd-Frank reforms should be phased in, foresee uncertainty and potential market disruption post-implementation
Faith shaky as market awaits flash crash report
Mutual funds pulling money out of US stocks amid fears of gaming by HFT investors
People moves in the op risk industry
Changing Hats
New Jersey adviser charged with multimillion-dollar fraud
New Jersey adviser charged with multimillion-dollar fraud
US SEC and Citigroup defend $75 million subprime settlement
US SEC and Citigroup defend $75 million subprime settlement
UK FSA hits Goldman Sachs with £17.5 million reporting fine
UK FSA hits Goldman Sachs with £17.5 million reporting fine