Tag: regulation

In March 2013, the Securities and Exchange Commission (SEC) proposed new rules designed to strengthen the technology infrastructure of certain participants in U.S. securities...

A December 2013 survey polled hedge-fund managers as to which regulators posed the greatest challenge for compliance dollar costs and difficulty in satisfying the...

America’s second largest bank was suspended from trading in hedge funds last summer by the Securities and Exchange Commission (SEC) as part of a...

In a case of long-arm jurisdictional reach criticized by both European government officials and foreign financial industry leaders, a former Swiss banking executive was...

As first reported a few months ago, U.S. banks are facing investigations by the Department of Justice as well as overseas regulators into allegations...

In yet another case of a company being lax in its FCPA (Foreign Corrupt Practices Act) controls, a California hi-tech firm failed to detect...

In the wake of increased hedge fund and private-equity fund registration as mandated by the Dodd-Frank Wall Street Reform Act, the Securities and Exchange...

October was not a particularly good month for hedge-fund returns. While everything from a flip-flop on tax inversion benefits to adverse legal rulings have...

More than 70 clients are now using diliger to help manage procurement and regulatory pressure around market data choices and cost LONDON – 11th November,...

The Public Company Accounting Oversight Board (PCAOB) — a non-profit corporation created by the Sarbanes-Oxley Act of 2002 — was established to oversee accounting...

One of the salient regulatory rules to emerge from the Dodd-Frank Wall Street Reform Act was the “custody rule” mandating that an investment adviser...

Social media is fast becoming a dominating force online, helping both individuals and businesses gain the attention they need and/or want. For businesses who...

  Billions of hedge fund dollars have recently been invested in companies which have announced plans to merge with overseas organizations with the intended outcome...

In 2003, the U.S. government founded the Fixed Income Clearing Corporation (FICC) to oversee confirmation, settlement and delivery of fixed-income assets in the United...

In 2012, the U.S. Congress passed the Jumpstart Our Business Startups Act (JOBS Act) that enhanced the ability of startup entrepreneurs and those growing...

The Securities and Exchange Commission (SEC) has announced an enforcement action against an online brokerage for allegedly having violated their “gatekeeper” obligations by engaging...

By: Tom Ziemba If you are a service provider, such as a hedge fund manager, you probably felt the effects of 457A.  In 2008, the...

The Financial Industry Regulatory Authority (FINRA) has issued a regulatory notice requesting comment on a proposed rule to implement the Comprehensive Automated Risk Data...

The Municipal Securities Rulemaking Board (MSRB) is a congressionally chartered regulatory organization governed by a 21-member board of directors and is subject to oversight...

In May 2013, the U.S. Attorney General’s office filed charges against the former VIP services manager of a Trinian (Mariana Islands) casino and the...

The Securities and Exchange Commission (SEC) is considering new rules for oversight and stress testing of the asset management industry. In response to concerns...

Following the 2008 financial crisis, the European Commission (EC) enacted new regulations affecting the way National Central Securities Depositories (CSDs) conduct their business. As...

America’s second largest bank has been charged with violating federal securities laws based on alleged overstatement of regulatory capital. The Securities and Exchange Commission...

In today's still fragile environment of recovering economies and financial markets, it is extremely important for a business world to have a reliable and...

The Dodd-Frank Wall Street Reform Act of 2010 (Dodd-Frank) empowered the Securities and Exchange Commission (SEC) to extend monetary awards to whistleblowers who provide...