State Street bankers charged for secret commissions scheme
Former executives caught reaping millions of dollars of illicit profits from bank’s transition management business.
Tag: SEC
Credit Suisse and Barclays settle federal dark pool fines worth $150 million
Credit Suisse and Barclays to pay over $150 million in fines over dark pool charges, in largest ever penalty imposed by the SEC.
Liquidity “not an exact science” regulators warned
US asset managers warn against imposing overly strict rules on liquidity measurement.
Market opening failures increased summer volatility – SEC
SEC study into August market volatility finds opening procedures and trading regulations exacerbated the situation.
SEC outlines tougher regime for dark pools
US regulator proposes new rules to increase dark pool transparency and protect investors.