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By Press Release |
December 21, 2013
Australia, Canada, the E.U., Hong Kong, Japan and Switzerland are deemed comparable with respect to aspects of Dodd-Frank.
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By Dawn Kopecki, Bloomberg |
November 11, 2013
JPMorgan Chase & Co., the largest U.S. bank by assets, is weighing whether to ban traders from using electronic chat rooms to communicate with peers at other firms as the forums draw scrutiny from global regulators.
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By Press Release |
July 8, 2013
The Connecticut firm allegedly violated NFA rules on compliance and financial requirements.
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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
