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SEC

SEC-Insider-Trading

The Sterner, Stricter SEC

01/07/2014(0)
As Mary Jo White sees it, the Securities and Exchange Commission’s job is to patrol Wall Street and Main Street and catch financial fraudsters. Since becoming the agency’s chair ... Read More
banks

Taking Systemic Risk Seriously

30/06/2014(0)
There are two leading views about the world’s financial system. The first, heard mostly from executives at leading global banks and their allies, is that the system is safer ... Read More
regions financial

Regions Financial to pay $51 mln for alleged accounting misdeed

26/06/2014(0)
Regions Financial Corp, a large U.S. southeast regional bank, agreed to pay $51 million to settle federal and state allegations it failed to account properly for souring commercial loans ... Read More
wall st

There Might Be a Lot of Insider Trading

18/06/2014(0)
As I may have mentioned over and over and over and over and over again, the first rule of insider trading is just don’t insider trade, but the second ... Read More
paul-konigsberg-reed-brodsky

Bernie Madoff’s Accountant Paul Konigsberg to Plead Guilty to Fraud Charges

18/06/2014(0)
Convicted fraudster Bernard Madoff’s former accountant Paul Konigsberg is expected to plead guilty to charges in connection with the swindler’s $65bn Ponzi scheme, a US prosecutor has said. Konigsberg, ... Read More
regulatory_compliance

Deutsche Bank Japan, SEC Whistleblower, Italy: Compliance

18/06/2014(0)
Deutsche Bank AG’s Japanese securities unit entertained officials from 45 funds that manage public pensions, according to a report obtained by Bloomberg News, signaling that the potentially illegal practice ... Read More
regulatory_compliance

BNP Paribas, U.K. Fraud Raids, Taiwan Rules: Compliance

17/06/2014(0)
BNP Paribas SA (BNP) has given investors scant information about how much it expects to pay to settle a criminal probe of U.S. sanctions violations. The bank told shareholders ... Read More
ASIAN STOCKS

Dark Pools Take Larger Share of Trades Amid SEC Scrutiny

13/06/2014(0)
The rise of off-exchange trading in the U.S. stock market continues unabated even as regulators question the wisdom of allowing the shift to continue. Shares changing hands in private ... Read More
law fees

SEC Says Investor Accused of Fake Gold Bid Fled to China

12/06/2014(0)
The U.S. Securities and Exchange Commission said the man behind a fake $750 million bid for Allied Nevada Gold Corp. (ANV) profited from selling an undisclosed stake in the ... Read More
JAPAN-ECONOMY-GDP

Hedge Fund Manager Jarkesy Loses Bid to Toss SEC Case

11/06/2014(0)
Houston hedge-fund manager George Jarkesy Jr. must face a U.S. Securities and Exchange Commission case in which he was accused of steering bloated fees to the John Thomas Financial ... Read More
Broker Cyprus TopFX