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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
UnhedgedEthan Wu
Gary Gensler’s big dreams Premium content
...Whatever you might think of Robinhood et al, retail investors do appear to value their services. You can’t ignore the regulatory politics either....
July 25, 2022
FT Live
FTWeekend Festival: U.S. edition
Where the Financial Times weekend paper comes to life
Saturday, 4 MayThe REACH, at the Kennedy Center for the Performing Arts, F Street Northwest, Washington, DC, USA
Newsletter
Aviva’s Amanda Blanc: from mining heartland to heart of capitalism
...The Securities and Exchange Commission is plotting a crackdown after fining BNY Mellon’s investment adviser division $1.5mn for allegedly misstating and omitting information about ESG investment considerations...
May 30, 2022
Due Diligence
Musical chairs: Europe’s top banks shuffle leadership Premium content
...(Bloomberg) There’s always a loophole Spacs carry more allure than just avoiding the fanfare of the traditional IPO — thanks to the US Securities and Exchange Commission’s “safe harbour” provisions, management...
December 2, 2020
FT AlphavilleJemima Kelly
CryptoMom wants to give the crypto kids a break
...For the Securities Exchange Commission (SEC)’s Hester Peirce, a commissioner at the US financial regulator with libertarian leanings, it appears to be the former. Ms....
February 7, 2020
FT SeriesSomeone is wrong on the internet
'Short-termism' isn't a thing, say Fed economists
...The affliction has apparently become so acute that President Trump announced in August (via Twitter, of course) that he'd requested the US Securities and Exchange Commission to consider scrapping a decades-old...
October 5, 2018
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
UK business
UK economists’ survey: recovery will be slower than in peer countries
...The Covid-19 vaccine(s) will prove a shot in the arm for both the UK economy and its peers....
January 3, 2021
FT AlphavilleMarkets
Further reading
...– “Tyson Foods Inc disclosed on Monday it has received a subpoena from the U.S. Securities and Exchange Commission following allegations it conspired with rivals for years to fix chicken prices....
February 8, 2017
FT AlphavilleSujeet Indap
Beta max
...For a company like Rural that is traded on a major exchange, ―[t]urnover measured by average weekly trading of . . . 1% would justify a substantial presumption‖ of market efficiency. 5 Bromberg et al., Bromberg...
June 19, 2015
FT AlphavilleDavid Keohane
The 6am London Cut
...take his place as the country faces its biggest security challenge since the 2003 US invasion....
June 26, 2014
FT AlphavilleDavid Keohane
The 6am London Cut
...Public documents show federal law-enforcement officials and the Securities and Exchange Commission are seeking records and other evidence from the HouseWays and Means Committee and a top congressional health-care...
June 19, 2014
FT AlphavilleHelp to buy
The (early) Lunch Wrap
...“People familiar with discussions between the bank and regulators including the Securities and Exchange Commission said JPMorgan had conceded it would have to pay some amount of money and acknowledge failures...
August 9, 2013
FT AlphavilleJoseph Cotterill
Argentina’s pari passu upset — redux
...al, and without the stay in place....
August 23, 2013
beyondbricsCentral banks
London headlines
...and Exchange Commission were investigating bribery allegations made against company employees. http://on.ft.com/YpxVPb Russian business deals on hold Billions of dollars in Russian business transactions...
March 20, 2013
FT AlphavilleJoseph Cotterill
A eurozone safe against, or is it safe for, sovereign holdouts? Part two
...So it’s not surprising that the first response from Buchheit et al is to answer back with bits of the bond contract that suggest sneaky loopholes instead....
February 19, 2013
FT Live
Future of Asset Management Europe
New fund firm models for Europe's resurgence
Tuesday, 12 NovemberLondon, UK
beyondbricsEU energy
London headlines
...Shriram Transport confirms Orix interest Japan’s Orix is in talks with U.S....
June 30, 2011
FT AlphavilleIPOs
Rating agencies to debt issuers: don’t cite us [UPDATED]
...Securities and Exchange Commission (SEC), immediately after the Dodd-Frank Bill is signed into law an issuer will need to obtain Fitch’s written consent to include a Fitch credit rating in a Securities Act...
July 19, 2010
FT AlphavilleStacy-Marie Ishmael
The dangers of politicising regulation [UPDATED]
...As the FT reported in May, Paulson told a hearing held by the Financial Crisis Inquiry Commission that the Tarp should have helped some 2,000-3,000 banks: Instead, a few hundred banks rushed to repay because...
May 19, 2010
Companies
Motorola statement
...Securities and Exchange Commission (“SEC”). Motorola will distribute an information statement to shareholders following completion of the SEC’s review of the Form 10....
February 11, 2010
FT AlphavilleIPOs
See you in court, Countrywide edition
...Freddie Mac and Fannie Mae (on behalf of) suing in NYC and DC: Bassman v. Syron, et. al (FRE) Agnes v....
August 13, 2008
FT AlphavilleIzabella Kaminska
A self-propelled pyramid?
...In other words, the USO held sway over the market, i.e. these funds (USO, S&P GSCI et al) are artificially skewing the front of the NYMEX curve; putting downward pressure as they sell a massive percentage...
February 25, 2009
News in-depthUS downturn
US seeks culprits for subprime
...The Securities and Exchange Commission, for its part, is investigating whether Bear Stearns and other hedge fund managers were forthright about disclosing the rapidly declining value of their holdings....
August 8, 2007
LexRatings agencies
Lex: Credit rating agencies
...Since 1975, the Securities and Exchange Commission has designated only a few agencies as qualified to provide ratings for official purposes....
February 13, 2005
Investment Banking
Kerry displays business credentials in swipe at Bush
...Levin, Retired Chairman and CEO, Time Warner Arthur Levitt, Jr., Senior Advisor, The Carlyle Group, Former Chairman, Securities and Exchange Commission Edward Lewis, Co-Founder, Chairman and CEO, Essence...
August 4, 2004

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