13 August 2015Washington DC Reporter: Stephanie Palmer
The SEC has adopted new registration rules applying to security-based swap dealers and major security-based swap participants, in line with Title VII of the Dodd Frank Act...
12 August 2015Washington DC Reporter: Stephanie Palmer
The SEC has charged 32 people with violating anti-fraud laws for their involvement in a scheme to profit from non-public corporate earnings announcements...
The European Securities and Markets Authority has issued its technical advice on appropriate penalties for settlement fails under the central securities depository regulation...
The first person to be charged as part of the investigation in to LIBOR manipulation has been found guilty on eight counts of conspiracy to defraud and sentenced to 14 years in prison...
ESMA should be making faster progress in extending its pan-European passport to alternative investment fund managers in non-EU jurisdictions, according to the AIMA...
BNY Mellon and State Street are at risk of failing to comply with the Basel III supplementary leverage ratio requirements, and should retain higher levels of capital in order to ensure compliance...
