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By Joshua Gallu |
April 26, 2013
George Canellos, co-chief of the U.S. Securities and Exchange Commission’s enforcement division, said investigators are turning their focus to enforcing new regulations from the 2010 Dodd-Frank Act.
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By Press Release |
August 14, 2012
The CFTC says the responses are intended to provide additional guidance to affected market participants.
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By Howard Mustoe and Gavin Finch, Bloomberg |
July 30, 2012
HSBC Holdings Plc, the British bank accused of helping drug lords in Mexico to launder money, apologized to investors for compliance failings and set aside $2 billion more to cover the costs of fines and redress.
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By Paul Armstrong, Bloomberg |
June 7, 2012
The International Swaps & Derivatives Association said it will partner with Markit Group Ltd. to develop a system enabling counterparties to amend over-the- counter derivatives documentation in order to help compliance with Dodd-Frank regulations.
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By Michael J. McFarlin |
February 23, 2012
The CFTC met to discuss rules related to swaps compliance and swap block trades in the 24th meeting for Dodd-Frank rules
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By Bart Mallon |
August 1, 2011
Social media is being integrated into business. Here’s what traders need to know about this new medium
