Tag:
Regulations
Latest Headlines
Latest Headlines
Smaller investment banks, boutiques under pressure
So what will the New Year bring for investment banks?
Obviously, they've been in downsizing mode. Banks slashed jobs as macro concerns squashed the early year bump in core advisory and deal business. Amid this loss of demand, new regulations will likely have an outsized effect.
Breakingv
Survey: Compliance and ethics movement on the rise
Compliance has emerged as a big issue for many companies, especially as regulations continue to spread and the risks of noncompliance go higher. We continue to hear a lot about various FCPA and other
SEC hires top economist to critical regulatory post
We've noted before that the chief economist job at the SEC is critical to the regulatory function. So Craig Lewis--who has been tapped as the new chief economist and head of the SEC's Risk, Strategy
Report on derivatives generates controversy
The passage of Dodd-Frank did not end the lobbying in Washington. In fact, it pushed it to a different plane, as the Wall Street lobbyists turned their attention to the rule-making process at the SEC and the CFTC.
The results for the industry have been decent when it comes to derivatives regul
A blizzard of new financial regs coming
We've all been resigned to the fact that a sweeping set of new financial regulations will likely become real this year. The process is well underway, as all players--both governmental and
Can the government change the rules of the game?
What Tim Geithner is attempting is ambitious to say the least: To change the very rules by which Wall Street plays, essentially creating a whole new Wall Street. He's making a lot of sense--calling for rules to be applied according to function, not from legal forms--but as always the devil will be
