Forty-eight percent of executives at banks, financial services firms, traders and government agencies said blockchain technology will be adopted for post-trade use in the next three to five years...
February 13, 2017 | 12:27 pm
Corporate bond market illiquidity and the suitability of platform design are key challenges in institutional fixed-income trading, said the International Organization of Securities Commissions.
February 08, 2017 | 01:41 pm
Royal Bank of Scotland will pay $85 million to settle CFTC charges that it tried to manipulate a benchmark for global interest-rate swaps and related derivatives.
February 03, 2017 | 11:31 am
On the 61st floor of the iconic 30 Rock building in Midtown Manhattan, Jim Rossman's team is embarking on a big data project this year. Its mission: analyzing shareholder ownership in a way that...
February 01, 2017 | 11:46 am
The explosion in ETF assets is evidence of a broad shift in the way investors approach asset allocation, looking for any edge they can find to increase performance and lower volatility.
January 31, 2017 | 11:02 am
Deutsche Bank will pay a combined $627 million in penalties to U.K. and New York state regulators to settle charges that the bank did not monitor money laundering of $10 billion out of Russia in a...
January 31, 2017 | 10:20 am
Overlay managers are looking to expand their business by targeting smaller endowments and foundations — not just by managing a portfolio, but also by allowing those funds to use their trading...
January 23, 2017
The Commodity Futures Trading Commission on Monday extended to May 1 the comment period for its supplemental Regulation Automated Trading proposal.
January 23, 2017 | 03:28 pm
Stefan Lumiere, a onetime portfolio manager for hedge fund firm Visium Asset Management, was convicted of federal securities fraud charges in the culmination of a three-year case that included the...
January 19, 2017 | 05:28 pm
Aitan Goelman, director of the CFTC's enforcement division, will step down from his post Feb. 3, the regulatory agency says.
January 19, 2017 | 01:24 pm
Citigroup Global Markets will pay the CFTC $25 million to settle charges it engaged in spoofing by placing orders to trade U.S. Treasury futures and then canceling them before execution.
January 19, 2017 | 12:49 pm
In her eight years serving in the Obama administration, Phyllis Borzi says her proudest accomplishment is the conflict-of-interest rule, which many Republicans in Congress now hope to repeal.
January 18, 2017 | 12:25 pm
The U.S. Supreme Court turned away an appeal by Bank of America, Citigroup and J.P. Morgan Chase, refusing to stop antitrust lawsuits that accuse some of the world's largest banks of conspiring to...
January 17, 2017 | 03:00 pm
Citadel Securities will pay $22.6 million to settle charges that its retail customer orders unit misled other brokerage firms about how it priced trades.
January 13, 2017 | 01:13 pm
BlackRock says assets under management reached $5.15 trillion as of Dec. 31, up 1% from three months earlier and up 11% from a year earlier.