Tag: Securities and Exchange Commission (SEC)
‘Whatsapp’ fines for banks hit US$1.8 billion
US market regulators have collectively fined 15 broker-dealers, one affiliated investment adviser, plus the swap dealer and futures commission merchant (FCM) affiliates of 11...
Bloomberg forces SEC to provide cost analysis of primary issuance database
Bloomberg has had its case for the US Securities and Exchange Commission (SEC), to provide an analysis of the costs for a primary bond...
Bloomberg warns on SEC extending exchange rules into bond market communication...
In a letter penned by Bloomberg’s Gregory Babyak, global head of regulatory Affairs and Gary Stone regulatory analyst and market structure strategist, the market...
SEC proposes regulation of high-frequency trading firms in US Treasury market
US market regulator, the Securities and Exchange Commission (SEC), has proposed regulation of high-frequency trading (HFT) firms, also referred to as proprietary trading firms...
SEC warns on counterparty risk in volatile markets
Staff of the Security and Exchange Commission (SEC) division of trading and markets have urged broker-dealers and other market participants to remain vigilant to...
SEC’s issuer proposal on cyber security risk ‘a step further than...
US market regulator, the Securities and Exchange Commission (SEC), has proposed amendments to its rules to enhance and standardise disclosures regarding cybersecurity risk management,...
Reg ATS: What does the proposed expansion mean for bond trading...
In late January the Securities and Exchange Commission (SEC) proposed rules to bring more Alternative Trading Systems (ATS) that trade Treasuries and other government...
The $21.6 trillion question: How many regulators does it take to...
The US$21.6 trillion US Treasury market is confounded by a lack of transparency and very short-term liquidity provision, according to a new joint staff...
Credit Suisse and VTB fined millions by UK, US and Swiss...
Credit Suisse Group AG has agreed to pay nearly US$475 million to Swiss, UK and US authorities, including nearly $100 million to the US...
Bond-trading broker-dealer charged for allegedly bankrupting firm
The Securities and Exchange Commission (SEC) has charged Keith Wakefield, a former managing director and head of fixed income trading at IFS Securities, an...
