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October 21-23, 2012
Advanced Trading's Buy-Side Trading Summit 2012
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For Regulators, JP Morgan’s $2 Billion Loss Is Really Not A Big Deal
May 14, 2012 @ 13:34 PM | By Melanie Rodier
Besides stress tests, the Fed has not produced any alternative way of truly guaranteeing the stability of the financial system.
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How Broker-Dealers Can Avoid The Wrath Of Regulators
May 07, 2012 @ 08:45 AM | By Melanie Rodier
Here are 10 outsourcing best practices from Broadridge.
continued...Comment on this blog entry
Social Media Is Wall Street's Number One Enemy
March 23, 2012 @ 12:00 PM | By Melanie Rodier
For the world-at-large, the whole point of Twitter is spontaneity. Not for Wall Street.
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Who’s Really Cashing In On the Whistleblower Program
March 13, 2012 @ 12:47 PM | By Melanie Rodier
Unsurprisingly, the whistleblower program instituted by Dodd-Frank is paying off. But it isn't just the whistleblowers who are set to cash in.
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Swaps Regs Up the Ante on Collateral Management
February 21, 2012 @ 12:26 PM | By Ivy Schmerken
To cope with new swaps regulations, Kempen Capital Management scrapped its Excel spreadsheets in favor of an iinhouse collateral management system.
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MF Global's Computers Overwhelmed In Final Days
February 07, 2012 @ 12:03 PM | By Ivy Schmerken
MF Global's computer systems couldn't keep up with the unprecedented volumes of transactions during its final days, according to a trustee's report, noting that some were never recorded.
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How the Government Flips Insider Trading Witnesses
January 20, 2012 @ 10:49 AM | By Ivy Schmerken
An F.B.I. agent has persuaded Wall Street suspects to collect evidence against their business colleagues or friends, playing a key role in the government's insider trader investigations.
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With MF Global Rule, Regs Finally Take One Small Step In Right Direction
December 06, 2011 @ 14:07 PM | By Melanie Rodier
In so far as it increases transparency into how funds are handled, it is a positive step -- but regs still have much more to do.
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Regs Crack The Whip On Wall Street Risk-Taking With New "MF Global" Rule
December 05, 2011 @ 13:18 PM | By Melanie Rodier
The rule had been approved months ago but was delayed due to strong opposition from none other than Jon Corzine, the disgraced former CEO of MF Global.
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Hall Of Shame: MF Global’s Books Are A Complete “Disaster”
November 11, 2011 @ 13:06 PM | By Melanie Rodier
It's happening again: According to reports, the firm’s books had incomplete transactions, and numbers that just didn't seem to add up.
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Fund Managers Catch A Break From The SEC
November 08, 2011 @ 12:16 PM | By Melanie Rodier
Form PF’s final rules aren’t as bad as anticipated.
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Bernie Madoff Reveals The Worst Part of Prison
October 27, 2011 @ 11:46 AM | By Melanie Rodier
Bernie revealed what keeps him up at night: And it's not, as you might think -- or hope -- his victims.
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It's Not A Good Time To Be An Insider Trader
October 13, 2011 @ 12:15 PM | By Melanie Rodier
New investigative techniques and less lenient judges mean life (behind bars) is tougher than ever before for insider traders.
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Wall Street Witnesses Its Most Costly Leak Ever
October 07, 2011 @ 07:34 AM | By Melanie Rodier
Billions of dollars are at stake for big banks in the Volcker Rule, a draft of which has been leaked.
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Occupy Wall Street Protest: Our Readers React
October 04, 2011 @ 13:47 PM | By Melanie Rodier
WS&T readers have some strong opinions on the matter of executive compensation.
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Severe Blow For Madoff Trustee Attempting To Recover Billions For Victims
September 29, 2011 @ 12:20 PM | By Melanie Rodier
Federal Judge Rakoff is turning into Irving Picard's arch nemesis.
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Does Insider Trading Warrant A 24-Year Prison Sentence?
September 20, 2011 @ 12:07 PM | By Melanie Rodier
Next week a judge will be handing down a sentence to Raj Rajaratnam, former head of the Galleon Group.
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Why The SEC Should Finally Be Scrapped
August 30, 2011 @ 12:17 PM | By Melanie Rodier
The SEC has been plagued for years by charges that it is an ineffective body. But the latest insider criticism levied at the watchdog should signal an end to its "loose rule" over the financial industry, some say.
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SEC's Document Disposal Policy in Disarray
August 18, 2011 @ 11:44 AM | By Ivy Schmerken
The agency was illegally destroying files and documents pertaining to preliminary investigations of notorious characters such as Bernard Madoff and Wall Street firms.
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Insider Trading: Who Is In the SEC Crosshairs?
August 09, 2011 @ 11:07 AM | By Melanie Rodier
The SEC is hard at work wielding the axe against insider traders. Here's who the agency is most likely to hunt down.
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