Securities and Exchange Commission (SEC)
US's Barr: hedge fund advisers must register
US Treasury's Michael Barr on the Obama administration's proposed hedge fund legislation
Ex-SEC heads look to limit Fed’s powers
An investor group chaired by two former SEC chairmen says Fed should not be granted responsibility for systemic risk
Antiguan head regulator charged over Stanford
Leroy King charged by SEC
SEC to revamp whistleblower procedures
The Securities and Exchange Commission (SEC), the US stock-market regulator, has announced a sweeping review of the way it handles whistleblower complaints and tip-offs.
Don't panic, pleads ECCB as Stanford run starts
The Eastern Caribbean Central Bank, which acts as financial regulator, has called for calm in Antigua and Barbuda as nervous depositors began to withdraw funds from the Bank of Antigua, part of the Stanford Group.
Further questions over SEC in Stanford affair
The US Securities and Exchange Commission (SEC) faces further questions over its authority and competence as the fallout from the regulator's fraud charges against Sir Allen Stanford continues.
Ferguson, Feldstein join Volcker recovery panel
Martin Feldstein, a Harvard professor; Roger Ferguson, a former vice chairman at the Federal Reserve, and William Donaldson, a former SEC chairman, will join the economic recovery panel headed by Paul Volcker, a former chairman of the Fed.
Mary Schapiro: Here Comes the Sun
In recent months, the US Securities and Exchanges Commission (SEC) has been on the receiving end of severe criticism. Mark Berman, a former SEC lawyer who leads CompliGlobe Ltd, a London-based consultancy specialising in financial regulation and…
Obama nominee underlines change at the Fed
The nomination of Daniel Tarullo, law professor at Georgetown University and regulation expert, to the Board of Governors of the Federal Reserve provides early evidence of the way the central bank is being reshaped in the aftermath of the financial…
Obama picks SEC head and Fed governor
Barack Obama, the US president-elect, has named Mary Schapiro, the chief executive of the Financial Industry Regulatory Authority (FINRA), as the new head of the Securities and Exchange Commission (SEC). The president-elect also appointed Daniel Tarullo,…
Fingers pointed at SEC in Madoff affair
The Securities and Exchange Commission (SEC), a leading American regulator, is under fire for failing to spot alleged investment fraud by Bernard Madoff.
Goldmans, MS abandon model, seek Fed shelter
And then there were none. Goldman Sachs and Morgan Stanley, the last of the big five Wall Street investment banks, have abandoned their business model to secure greater Fed protection and soothe negative market sentiment.
Sparks fly between Cox and McCain
Christopher Cox, the chairman of the Securities and Exchange Commission (SEC), and John McCain, the Republican president candidate, have clashed over McCain's comment that he would fire Cox if he were president.
Tumpel-Gugerell: we need a European SEC
Europe's needs to get its house in order to be prepared for the global challenges related to the infrastructure for securities, said Gertrude Tumpel-Gugerell, a member of the executive board f the European Central Bank.
Towards a new financial system
Dino Kos identifies the likely changes to the global financial system in light of the credit crunch
Fed and SEC vie to regulate investment banks
The heads of Securities and Exchange Commission and the New York Federal Reserve made the case for their institution to supervise investment banks before US lawmakers.
Senator questions plans for greater Fed role
The top Republican on the US Senate Banking Committee has challenged plans to extend the Fed's regulatory power.
No need to change disclosure rules
Disclosure practices may be enhanced without amending existing rules, a survey conducted by leading global regulators has found.
SEC's Cox warns on SWF state ownership
The fundamental question on sovereign wealth funds does not concern the advisability of foreign ownership, but rather of government ownership, says Christopher Cox, the head of the Securities and Exchanges Commission (SEC).
London office for US regulator?
Christopher Cox, the chairman of the Securities and Exchange Commission (SEC), the chief regulator in the US, said it would select either London or Brussels for its European office, part of its strategy of building a closer relationship with its foreign…
Hedge funds need transparency, not rules
US and EU regulators remain cool on calls for further regulation of the hedge fund sector.
SEC and FSA chiefs to discuss hedge fund rules
Paul Atkins, the commissioner of the US Securities and Exchange Commission, and Hector Sants, the chief executive of the UK Financial Services Authority, will meet with senior hedge fund professionals to ask if funds should be regulated and to see what…
US watchdogs mull hedge fund regulation
After hearing testimonies on developments in the hedge fund industry, the Financial Services Committee of the American House of Representatives has suggested that tighter regulation of the industry may be required.
Hedge funds will be regulated, one way or another
According to this article by Bloomberg, published Friday 14 July, although a US court blocked the Securities and Exchange Commission from regulating hedge funds, the business hasn't permanently escaped the grasp of regulators.