Regulatory News
UK and Swiss watchdogs launch formal investigations into UBS over trading scandal
Finextra
3 February 2012
Bharara, Rajaratnam Prosecutor, Makes Cover Of 'Time'
FINalternatives Raj Rajaratnam may want to steer clear of the magazines at the Devens Federal Medical Center library next week.
3 February 2012
S.E.C. Is Avoiding Tough Sanctions for Large Banks
New York Times Even as the Securities and Exchange Commission has stepped up its investigations of Wall Street in the last decade, the agency has repeatedly allowed the biggest firms to avoid punishments specifically meant to apply to fraud cases.
3 February 2012
Senate Passes Insider-Trading Ban ($)
Wall Street Journal After years of delay, Congress took a big step toward approving new rules to ban lawmakers from trading stocks based on information they pick up in the halls of Capitol Hill—a move aimed in part at helping repair the institution's low approval ratings.
3 February 2012
Previous Regulatory News
3 February 2012
- U.S. requires 401(k) plan clarity on fees (Reuters)
- ‘Too early’ to spot gaps in global regulation ($) (Financial Times)
- EU Defends NYSE-Deutsche Boerse Merger Block ($) (Wall Street Journal)
- CME Group creates $100m fund after MF Global ($) (Financial Times)
2 February 2012
- Geithner: Key Parts of Financial Reform Coming in 2012 (Reuters)
- UPDATE: Futures On Credit-Default Swaps Seen As Natural Evolution ($) (Wall Street Journal)
- CME sees no need to revamp futures regulation in post-MF Global market (Crain's Chicago Business)
- NYSE Is Niederauer Dilemma as Deal Fails (Bloomberg)
- ECB May Wait for Investor Deal on Greek Swap (Bloomberg)
- Esma aims for the middle ground with draft ETF guidelines ($) (Risk.net)
- Buy-side leads doubts over Brussels’ consolidated tape plans (The Trade News)
- TSE failure compounded by restrictions to back-up venues (The Trade News)
- Canadian banks to meet with U.S. regulators over Volcker rule (Globe and Mail)
- Q&A: NYSE Executives on the Merger's Collapse ($) (Wall Street Journal)
- Block points to future of global alliances ($) (Financial Times)
1 February 2012
- Exclusive: MF Global triggers regulatory rethink at CFTC (Reuters)
- Niederauer Keeps NYSE Board Support as Deutsche Boerse Backs CEO (Bloomberg)
- NYSE-Börse in discussions to terminate merger ($) (Financial News )
- After Veto, Europe's Exchanges Gird for Derivatives Battle (Institutional Investor)
- NYSE CEO: Appeal Possible, Clearing Strategy Again a Focus ($) (Wall Street Journal)
- After a Delay, MF Global’s Missing Money Is Traced (DealBook)
- Hedge funds brace for euro zone break-up (Reuters)
- Ex-Credit Suisse workers face charges in subprime case: sources (Yahoo! Finance)
- Brussels blocks Deutsche Börse/Nyse Euronext merger (Finextra)
- Volcker Rule Stirs Up Opposition Overseas (DealBook)
- U.S. Weighs Volcker Sovereign-Debt Exemption (Bloomberg)
- U.S. Widens Case vs. Rajat Gupta ($) (Wall Street Journal)
- NYSE and Deutsche Borse Plan to Call Off Merger (DealBook)
- U.S. to charge ex-Suisse traders on subprimes: sources (Reuters)
- Fiduciary Standard Should Match Reality of Market, Pitt Says (Bloomberg Businessweek)
- Brussels has now blocked DB-NYSE merger (FT)
31 January 2012
- Ex-JC Flowers U.K. CEO Fined, Banned For Fraud (FINalternatives)
- John Reed on Big Banks’ Power and Influence (Bill Moyers.com)
- Malaysia Relaxes FX, Interest Rate Derivative Rules ($) (Derivatives Intelligence)
- WSPs Growing Fatter With New Regs (Traders Magazine)
- Going to the MAT with the CFTC (MarketsReformWiki)
- Banking bonus culture 'has changed forever' (Bob's Guide)
- CFTC panel to review high-frequency trading (Yahoo! Finance)
- Goldman Sachs Runners Step Up for Empire State Building’s 86-Floor Climb (Bloomberg)
- Sarkozy Tax May Drive Investors From Stocks (Bloomberg)
- Persistent trade failure problem gets partial fix (Reuters)
- Exiting watchdog sees flaws in SEC's rulewriting (Reuters)
- FSA warns on Mifid review proposals ($) (Financial Times)
- D Börse and NYSE challenge block to merger ($) (Financial Times)
30 January 2012
- Europe Forges Closer Fiscal Ties ($) (Wall Street Journal)
