Tag Archives: watchdog


Ahead of the Bell: SEC, CFTC to ‘harmonize’ rules

MSN – Two agencies with oversight of the financial markets are trying to coordinate their regulations to eliminate differences involving similar types of investments and instruments. The Securities and Exchange Commission, the government’s primary markets watchdog, and the Commodity Futures […]

SEC lawyers probed for insider trading

Reuters – Two U.S. Securities and Exchange Commission enforcement lawyers are under investigation by federal criminal authorities for allegedly using insider information to trade stocks, a report by the SEC’s internal watchdog said. The Federal Bureau of Investigation and U.S. […]

IOSCO to outline new role of regulators at conference

Jerusalem Post – While the recent G-20 summit in London provided world financial leaders with the opportunity to begin charting a path of recovery for the ailing global economy, the work to build the markets up and to ensure that […]

UK financial services regulator proposes shakeup

LONDON (AP) – Britain’s financial services watchdog proposed sweeping changes to global banking regulations on Wednesday, including a crackdown on the "shadow banking" activities of institutions like hedge funds. The government-commissioned banking services report recommends new rules on a wide […]

FSA faces multimillion claim for failing to stop Terry Freeman trading

Times Online – The Financial Services Authority is facing a multimillion-pound compensation claim from a group of investors who say that the City watchdog failed to stop the activities of a suspected rogue trader. Former clients of GFX Capital Markets, […]

Big Falls in Hedge Fund Borrowing

Financial Times – Hedge funds cut their borrowing to almost nothing in the wake of the collapse of Lehman Brothers, according to research by the City watchdog. Data compiled by the Financial Services Authority show that leverage fell to just […]

Senate Approves Schapiro as New Head of SEC

New York (HedgeCo.Net) – Mary Schapiro, who most recently was the CEO for the Financial Industry Regulatory Authority, is now the head of the Securities and Exchange Commission.  The Senate approved Schapiro yesterday, a month after being nominated President Barack […]

US regulators probed Madoff eight times over 16 years

MSN Money UK – Bernard L. Madoff Investment Securities LLC was examined at least eight times in 16 years by the U.S. Securities and Exchange Commission (SEC) and other regulators, who often came armed with suspicions, the Wall Street Journal […]

Federal Reserve investigated Lehman rumors

Reuters – The Federal Reserve acted on rumors last month and called Credit Suisse Group to see if it had pulled a credit line from Lehman Brothers Holdings Inc, The Wall Street Journal said citing people familiar with the matter. […]

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