GO
Loading...

Financial Reform

More

  • Banks withdraw from Barclays' dark pool -FT Thursday, 26 Jun 2014 | 6:50 PM ET

    June 26- Big banks have started pulling their business out of Barclays' dark pool, after the British bank was sued by New York's top securities regulator for allegedly misleading institutional investors over its anonymous trading venue, The Financial times reported.

  • June 25- The U.S. Securities and Exchange Commission unveiled a one-year "tick size" pilot program to let some stocks trade in five-cent increments instead of one-penny increments.

  • Abe shoots 'third arrow': What it entails     Tuesday, 24 Jun 2014 | 5:00 AM ET

    Seijiro Takeshita, director at Mizuho International, comments on Shinzo Abe's new measures and says their benefits won't be felt until next year at the earliest.

  • NEW YORK, June 23- The Financial Industry Regulatory Authority has withdrawn a proposal that would require brokers to disclose to customers signing bonuses and other compensation they receive to move to a new firm, but it plans to refile it later this year.

  • NEW YORK, June 23- The Financial Industry Regulatory Authority has withdrawn a controversial proposal that would require brokers to disclose to customers signing bonuses and other compensation they receive to move to a new firm.

  • BUCHAREST, June 20- Bulgaria's financial regulator has ordered the stock exchange to suspend trading of Corporate Commercial Bank from Monday to Wednesday next week in order to protect investors and stabilise the market, it said in a statement on Friday.

  • BULGARIA FINANCIAL REGULATOR ORDERS STOCK EXCHANGE TO SUSPEND TRADING OF CORPORATE COMMERCIAL BANK FROM MONDAY-WEDNESDAY.

  • WASHINGTON, June 16- The U.S. Supreme Court on Monday threw out an appeals court ruling that had allowed a lawsuit by a federal regulatory agency to go forward against several banks over their role in selling mortgage-backed securities to now-failed credit unions.

  • PARIS, June 10- Retail clients of BNP Paribas are keeping faith in France's biggest listed bank despite reports about a looming multi-billion fine from U.S. regulators, the head of French retail banking Marie-Claire Capobianco told BFM Business TV on Tuesday.

  • NEW YORK, June 10- Wall Street banks are playing cat-and-mouse with U.S. regulators over rules that seek to reduce lending for deals that load up companies with too much debt, as they try to retain a profitable business and meet demands from clients and investors.

  • WASHINGTON, June 6- U.S. securities regulators filed civil lawsuits on Friday against a private trading platform and a major brokerage firm, citing both cases as part of an agency crackdown on violations of core equity market structure rules.

  • NEW YORK, June 6- The U.S. Securities and Exchange Commission said on Friday it was suing the New York- based dark pool operator Liquidnet Inc for failing to safeguard confidential trading information. The SEC said Liquidnet would pay $2 million to settle the case, without admitting or denying any of its findings.

  • BEIJING, June 6- China will further tighten supervision over the shadow banking sector, the country's banking regulator said on Friday, part of an ongoing campaign to control off-balance sheet lending by the country's financial institutions.

  • The lawsuit, filed against the Federal Reserve, the Federal Deposit Insurance Corp and the Office of the Comptroller of the Currency, comes days after U.S. prosecutors opened criminal and civil probes into at least 15 banks and payment processors as part of a wide-ranging consumer fraud investigation.

  • June 5- A bank branch-based broker for a unit of JP Morgan has been permanently barred from the securities industry for using a customer's credit card reward points for his own personal accounts, according to Wall Street's industry-funded watchdog.

  • June 5- A bank branch-based broker for a unit of JP Morgan has been permanently barred from the securities industry for using a customer's credit card reward points for his own personal accounts, according to Wall Street's industry-funded watchdog.

  • Bank regulators have gone too far: Dick Bove Thursday, 5 Jun 2014 | 2:43 PM ET

    There is something seriously wrong with bank regulation and litigation in the US today, says bank analyst Dick Bove.

  • Euronext London gets key UK regulatory approval Wednesday, 4 Jun 2014 | 5:11 AM ET

    LONDON, June 4- Euronext's London market has been approved as a full exchange by Britain's financial regulator, putting it on a level footing with rivals such as the London Stock Exchange Group and BATS Chi-X Europe.

  • NEW YORK, June 3- Ocwen Financial Corp will stop requiring some homeowners to not criticize the company publicly in exchange for having the terms of their loans eased, New York state banking regulator Benjamin Lawsky said on Tuesday.

  • NEW YORK- New York state's top banking regulator, Benjamin Lawsky, is asking BNP Paribas SA to fire some senior executives as part of a settlement of allegations that the French bank violated U.S. sanctions, two sources familiar with the matter say., moved, by Karen Freifeld, 930 words).