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US & Canadian companies
Morgan Stanley got off lightly
...On Friday the US Securities and Exchange Commission charged Morgan Stanley and its former equity syndicate desk head Pawan Passi with fraud in the conduct of block trading business....
January 15, 2024
Cryptofinance
Is the US trying to kill crypto’s decentralised finance?
...The true believers of crypto have never understood that — their very mantra is giving people a means to shield themselves from government oversight,” John Reed Stark, the Security and Exchange Commission...
July 21, 2023
FT Live
FTWeekend Festival: U.S. edition
The Saturday where the Financial Times Weekend paper comes to life
Saturday, 10 May 2025The REACH, at the Kennedy Center for the Performing Arts, F Street Northwest, Washington, DC, USA
FT Magazine
The FT’s 25 most influential women of 2023
...the day-to-day demands of leading the European Commission with remarkable skill and grace and has broken barriers as its first female president....
November 30, 2023
ExplainerMeta Platforms
Five problems Facebook whistleblower Frances Haugen wants to fix
...She has also filed complaints to the US Securities and Exchange Commission over whether Facebook misled investors....
October 5, 2021
The Big Read
Facebook after the whistleblower: can Zuckerberg reboot the social network?
...The US Securities and Exchange Commission has yet to say whether it will act on Haugen’s concerns and pursue any investigations: “The closer the relationship between the whistleblower’s allegations and the...
October 27, 2021
Europe Express
Brussels considers Brexit options to deal with UK threats Premium content
...Microsoft Exchange Server compromise to Beijing....
November 10, 2021
FT Live
Crypto and Digital Assets Summit Asia
Transforming mainstream finance
Thursday, 5 DecemberSingapore
FTfmCorporate governance
Why we are suing the SEC
...The US Securities and Exchange Commission in August issued an interpretation of a law Congress designed for those engaged in the solicitation of a proxy and applied it to the providers of proxy advice....
November 5, 2019
UK business
UK economists’ survey: recovery will be slower than in peer countries
...Yes, the numbers are bigger, but the shock, while not a V is shorter and sharper than that crash, and the pre-crisis fiscal situation was strong....
January 3, 2021
Dark Pools
SEC votes to improve oversight of dark pools
...The US Securities and Exchange Commission has voted to improve the transparency and regulatory oversight of stock market trading venues often called “dark pools”, after rising concerns that their opacity...
July 18, 2018
FT Magazine
Max Schrems: the man who took on Facebook — and won
...Long before the Big Tech backlash, before politicians feared the power of tech leaders and before Facebook users questioned giving up their personal information in exchange for photo updates from former...
April 5, 2018
InterviewLife & Arts
Transcript of Alan Rusbridger’s Lunch with the FT with Edward Snowden
...Oversight Board....
September 12, 2016
FT AlphavilleEquities
Guest post: The SEC could find new uses for an old law
...Since the Financial Crisis, the Securities and Exchange Commission has been criticized for not holding senior executives accountable for corporate wrongdoing....
May 1, 2014
FT Magazine
William D Cohan on Wall Street whistleblowers
...She notes that while the Dodd-Frank law created new paths for whistleblowers to report wrongdoing to both the Securities and Exchange Commission – for securities violations – and to the Commodity Futures...
May 30, 2014
fastFT
FSOC to take closer look at asset management
...The US Securities and Exchange Commission also disagrees with some elements of the report and sought public comment on it....
March 28, 2014
Eurozone economy
The judges 2013
...Chairman Levitt was the 25th and longest serving Chairman of the United States Securities and Exchange Commission....
July 4, 2013
FT Live
Outstanding Directors Exchange
Fostering trust for steadfast leadership
Wednesday, 12 JuneHarvard Club of New York City, West 44th Street, New York, NY, USA
US financial regulation
Obama names White to head SEC
...US President Barack Obama has nominated Mary Jo White, a former federal prosecutor and prominent corporate defence lawyer, to lead the Securities and Exchange Commission....
January 24, 2013
FT AlphavilleLisa Pollack
American swap regulation: a class apart
...And separately, also from Risk: The Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC) have failed to produce uniformly consistent definitions of ‘swaps’, ‘security-based...
February 8, 2012
Global Economy
Question 2: Credit
...I think the independent banking commission (the Vickers commission) should have gone for clean separation....
January 1, 2013
US & Canadian companies
The SEC’s plan sets lawyers abuzz
...The Securities and Exchange Commission plans to scrutinise fund fees by investigating advisers that charge what it deems to be excessive fees. This has raised questions among industry lawyers....
October 3, 2010
FT AlphavilleStacy-Marie Ishmael
The dangers of politicising regulation [UPDATED]
...the prices of securities based on a balance between buyers and sellers?...
May 19, 2010
FT AlphavilleStacy-Marie Ishmael
SEC launches first-ever CDS insider trading case
...The allegations made today by the US Securities and Exchange Commission, ground breaking though they are, don’t quite give credence to that particular argument....
May 5, 2009
Investment Banking
Full text: Bernanke testimony
...An effective and comprehensive agenda for addressing systemic risk will also require new responsibilities for other federal agencies and departments, including the Treasury, Securities and Exchange Commission...
July 24, 2009
FT AlphavilleStacy-Marie Ishmael
Paulson, Falcone and Soros head to the Hill
...Securities and Exchange Commission - Professor Joseph Bankman, Stanford University Law School - Houman Shadab, Senior Research Fellow, Mercatus Center, George Mason University...
November 13, 2008
Climate change
Full G20 communiqué
...Improve regulatory oversight of energy markets by implementing the International Organization of Securities Commissions (IOSCO) recommendations on commodity futures markets and calling on relevant regulators...
September 25, 2009
Asia-Pacific equities
Markets surge on €1,873bn European bank bail-out
...That panel, which met for the first time last week, also includes Mr Paulson and the heads of the Securities and Exchange Commission, the Federal Housing Finance Agency and the Department of Housing and...
October 13, 2008

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