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Compliance - Trading Compliance
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Federal agents arrested the portfolio manager of the largest hedge fund in the country. After a week of buying mansions and Picassos, is SAC Capital founder Steve Cohen next?Be the first to comment
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Regulatory change can dramatically improve the global post-trade environment. But in the meantime, market participants need to embrace industry best practices.
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Federal prosecutors announced criminal charges against three new defendants in the government's broad-based insider trading probe.
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The SEC proposed new rules that would require exchanges, clearing agencies and other kinds of trading platforms to be better prepared to handle major market disruptions.
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The former JPMorgan Chase trader known as the "London Whale" was not responsible for Lehman Brothers' bankruptcy and should not be dragged into an $8.6 billion lawsuit.
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While insider trading convictions continue to pile up, SEC chairman nominee Mary Jo White needs to focus on improving market surveillance and data analysis in order to really bolster investor confidence.
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Former customers of Jon Corzine's collapsed brokerage MF Global would recover most, and probably all, of their money under the latest projections by the trustee liquidating its bankrupt parent company.
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Hedge fund manager Doug Whitman was sentenced to two years in prison after he became the first defendant in a broad U.S. crackdown on insider trading to take the stand to convince jurors of his innocence.
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Two former stock brokers at a Connecticut financial services company were charged with insider trading on Thursday over a 2009 acquisition by computer giant IBM Corp.
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Accused UBS fraudster Kweku Adoboli was not challenged when he told a colleague that he had made a "cosmetic adjustment" to the accounts.
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GoTrade+ is a middle office service that supports post-trade activities of complex traded transactions including bilateral and cleared OTC derivatives.
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A plan by a group of euro zone countries to introduce a tax on financial transactions threatens to drive more trading to London from centers such as Frankfurt.
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Eleven euro zone countries agreed to press ahead with a disputed tax on financial transactions.
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A former Credit Suisse Group AG trader, accused by U.S. authorities over a $3 billion fraud involving subprime mortgage bonds, said he would fight a U.S. extradition request when he appeared in a British court on Thursday.
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An influential U.S. lawmaker pledged to take a closer look at the safety and soundness of the equity markets following a recent string of technology glitches on Wall Street.
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Peregrine Financial Group's former Chief Executive Russell Wasendorf Sr. pleaded guilty on Monday to embezzling more than $100 million from customers of his futures brokerage, lying to regulators to cover his tracks, and mail fraud.
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"Naked gambling" by UBS trader Kweku Adoboli nearly brought down the massive Swiss bank as he wagered up to $12 billion, a prosecutor told a London court.
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A former UBS trader goes on trial in London this week in a case involving losses of $2.3 billion that will subject the Swiss bank to an "uncomfortable" examination of its culture and practices.
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Doug Whitman, a California hedge fund manager on trial for insider trading, had some explaining to do on the witness stand about his long-running contact with a stocks researcher.
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A former Barclays trader who was fired by the bank for sending inappropriate emails about Libor "has cooperated" with the federal criminal probe into the alleged rigging of international benchmark interest rates.
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After Knight Capital's rescue, there are still concerns about risk controls. A professor from Columbia University told CNBC that regulators need to put in speed bumps so that markets continue to function when the next upheaval occurs.
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After the latest electronic trading glitch, this one at Knight Capital, it's easy to see why investors are turning away from the financial markets.
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Interactive Brokers agreed to pay a $700,000 penalty to settle charges by the CFTC that it violated reporting rules and failed to "diligently" supervise the handling of accounts.
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In a matter of days, the criminal investigation into a $5.8 billion trading loss at JPMorgan Chase was transformed from dormant to potentially explosive.
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Federal investigators are looking at whether JPMorgan Chase traders hid trading losses that have since grown to $5.8 billion, after the bank said its own probe found reason for suspicion.
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