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    • Friday, 5 August, 2022
      Cryptocurrencies
      SEC crypto clampdown puts digital asset industry on notice

      Wall Street’s top cop has been using traditional finance rules to police industry

    • Monday, 1 August, 2022
      SEC charges 11 in ‘massive’ crypto Ponzi scheme

      US regulator says Forsage programme raised $300mn by ‘aggressively’ marketing to global investors

    • Monday, 1 August, 2022
      Alibaba
      Alibaba to ‘strive’ to keep New York listing despite addition to SEC watchlist

      Chinese tech group was added to a US register of companies facing delisting in 2024

    • Monday, 25 July, 2022
      Insider trading
      Former Goldman banker accused of passing inside tips to squash partner

      Ex-congressman among nine defendants cited by federal prosecutors for insider trading schemes

    • Thursday, 21 July, 2022
      Digital currencies
      The SEC decides some alt-coins are securities

      That means you can, in fact, get in trouble for insider-trading them

    • Thursday, 14 July, 2022
      Elon Musk
      SEC scrutinises Musk tweet over $44bn Twitter takeover bid

      US securities regulator asks why Tesla chief did not notify investors before saying deal ‘cannot move forward’ over bots

    • Tuesday, 12 July, 2022
      ETF HubLatest news on ETFs
      SEC warns investors about new single-stock leveraged ETFs

      Products carry ‘greater volatility and risk’ compared with holding the underlying asset, says US regulator

    • Monday, 11 July, 2022
      US financial regulation
      SEC to rescind Trump-era rule for proxy advisers

      Companies backed requirement that ISS and Glass Lewis tell them voting recommendations

    • Friday, 8 July, 2022
      Citigroup Inc
      Citi forced to update disclosures on Russia exposure by SEC

      Bank says it revised cash flow statements and updated information at US regulator’s request

    • Thursday, 30 June, 2022
      US Treasury bonds
      Treasury market reforms draw flak from funds and high-speed traders

      SEC proposal requiring dealer registration would increase capital requirements and scrutiny

    • Thursday, 30 June, 2022
      Cryptocurrencies
      Crypto fund Grayscale launches lawsuit after SEC rejects ETF plan

      Digital asset manager challenges rejection of application to convert $40bn trust into exchange traded fund

    • Tuesday, 28 June, 2022
      EY
      EY agrees record $100mn US settlement over ethics exam cheating

      SEC alleges ‘breaches of trust’ involving dozens of employees at Big Four audit firm

    • Friday, 24 June, 2022
      Banks
      Welcome to the bankers’ panopticon

      Paranoia over unapproved messaging will only create more problems for regulators.

    • Friday, 24 June, 2022
      InterviewCryptocurrencies
      SEC chair urges ‘one rule book’ for crypto to avoid gaps in oversight

      Gary Gensler seeks to share information with derivatives agency to better regulate digital assets

    • Wednesday, 22 June, 2022
      Fund management
      Index regulation is tricky but necessary

      The growing importance and influence of financial indices cannot be denied

    • Monday, 20 June, 2022
      Special ReportFTfm: ETFs and Asset Management
      Authorities push firms to clean up their greenwashing and net zero claims

      Financial regulators clamp down on companies misleading investors by overstating the greenness of their funds

    • Saturday, 18 June, 2022
      Climate change
      Corporate America seeks to halt SEC climate rule

      Regulator’s proposal would force companies to disclose carbon emissions and climate change risks for the first time

    • Friday, 17 June, 2022
      Moral Money
      How ESG strategies hurt emerging markets Premium content

      Plus, the comment period on the SEC’s big climate proposal comes to an end

    • Thursday, 16 June, 2022
      US financial regulation
      SEC looks at stricter rules for index providers

      S&P Global and MSCI could be reclassified as investment advisers by US regulator

    • Wednesday, 15 June, 2022
      Moral Money
      Gfanz kicks off carbon cutting proposal Premium content

      Plus, ‘ecocide’ prevention comes for banks and pension funds

    • Wednesday, 15 June, 2022
      Exchange traded funds
      SEC proposal on fund names looms over everything, not just ESG

      Names Rule amendments could have a particular impact on thematic ETFs, analysts say

    • Monday, 13 June, 2022
      Charles Schwab
      Charles Schwab to pay $187mn settlement to robo-adviser clients

      SEC slams ‘egregious’ allocations of customer money that extracted ‘hidden costs’

    • Monday, 13 June, 2022
      US financial regulation
      US unions accuse hedge funds of claiming ‘false’ alliance in battle against SEC rules

      AFL-CIO says they do not support activist investors opposed to post-Archegos transparency drive

    • Friday, 10 June, 2022
      Goldman Sachs Group
      SEC investigating Goldman Sachs for ESG claims

      US regulator has been putting more focus on potential ‘greenwashing’ in finance

    • Friday, 10 June, 2022
      Stablecoins
      US court orders Terraform Labs’ chief to comply with SEC subpoenas

      Do Kwon told to submit information on digital token trading network

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