Tag: SEC
SEC: Leech charged with cherry picking trades for WAMCO funds
The SEC has charged Ken Leech with fraud. The bond trader was former co-chief investment officer at Western Asset Management (WAMCO), which holds US$336.1...
Rules & Ratings: Covered clearing agencies subject to new risk management...
The SEC has amended rules related to the risk management and resilience of covered clearing agencies, introducing new requirements around intraday margin collection and...
US vs Europe: The transatlantic divide for corporate bond traders
The DESK examines the different sizes, protocols and feedback traders can use on each side of the Atlantic to execute corporate bond orders.
While US...
Market Structure: New risk and liquidity in the US Treasury market
Significant changes in counterparties and market structure have transformed US Treasury market activity.
Dealer-to-client trading has overtaken interdealer markets in volume traded according to analyst...
A long way to go: “Fundamental concerns” raised around lack of...
With the US representing an estimated 46% of the global equity market, its upcoming shift to T+1 settlement in 2024 is a huge move....
Regulation Brings TradFi and DeFi Worlds Together
The European Union passed a legal framework for crypto-assets in the region in April this year, covering markets that are not regulated by existing...
Analyzing chair Gensler’s comments on TRACE reporting
By Julien Alexandre & Grant Lowensohn
Highlights
The SEC chair recently announced the SEC was considering reducing the reporting window for US corporate bond transactions to...
Internal crossing for US bond trading needs ‘principles-based’ approach
Buy-side firms have roundly supported Securities and Exchange Commission (SEC) proposals to allow internal crossing of fixed income trades in the US market, however...
MeTheMoneyShow – Episode 11
In this week’s discussions Dan Barnes and John D'Antona focus on potential changes at the SEC and how the resurgence of retail trading has...
SEC committee signals direction for US credit rules
New fixed income committee sees pushback on structural approach to resolving credit market challenges. David Wigan reports.
As European fixed income market participants get their...
