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The focus in financial regulation is shifting from the brokers to their clients, institutional investment managers.
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Exchange Tensions Flare
Rivalries among securities exchanges are heating up as the business of options has turned into a particularly aggressive battleground for U.S.-based exchanges.
Hedge Fund Manager Paul Greenwood Pleads Guilty
Paul Greenwood pled guilty in Manhattan federal court this week to six charges, including conspiracy, securities fraud, commodities fraud, wire fraud, and money laundering for misappropriating $554 million in client funds.
SEC to Address 'Empty Voting'
"Empty voting" is a practice favored by some activist hedge funds to boost their voting power in a company without putting up much money. The SEC wants to determine whether it is being used to inappropriately influence corporate voting results.
Pequot Whistle-Blowers Get $1 Million From SEC
A whistle-blower couple was awarded $1 million by the SEC for providing critical information in the alleged Pequot Capital Management insider trading case involving Microsoft securities.
CFTC Gets Proximity Rule Right, Traders Say
The Commodity Futures Trading Commission's proposed regulation on co-location and proximity hosting services has drawn favorable reactions from key derivatives trading constituencies.
New Capital eBook Released
This is the first in a series of five Capital eBooks that feature the latest banking and capital market stories in an easy to use e-Reader format. Access video segments, multimedia RSS readers, and the latest research and rankings.
Bloomberg Ups the Valuation Ante
Major financial data providers have been jockeying with niche players for pieces of the valuation services market in recent years, and one, Bloomberg, has turned up the competitive heat with its announcement of an OTC derivatives pricing service.
Financial Reform Bill Provision Could Spur Whistle-Blowers
A largely overlooked provision of the U.S. financial reform bill could create a cottage industry of whistle-blowers trolling for violations of the Foreign Corrupt Practices Act, says Douglas Lankler, chief compliance officer of drugmaker Pfizer.
NYU Economists Find Way to Spot Systemic Risks
NYU economists have developed a new gauge, called systemic expected shortfall, or SES, that indicates which banks would fare the worst if the financial sector were to become widely undercapitalized in a repeat of the 2008 meltdown.
Afraid of What We Know
One surefire way for Washington to put on a show of political force is to hold hearings.
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