Sec
14 December 2011
Britons rank second in a list of non-US nationals most keen to tip America's regulators off about suspected financial crime, according to the first annual report on the Securities & Exchange Commission's whistleblower programme.
10 November 2011
The Securities and Exchange Commission (SEC) has approved rules making it harder for overseas firms to list in the US via mergers with shell companies - a move advocated by Fidelity’s Anthony Bolton earlier this year.
27 September 2011
Standard and Poor's (S&P) has received notice from the Securities and Exchange Commission (SEC) recommending a lawsuit be brought against it over a mortgage-backed security it rated in 2007.
01 December 2010
A former Deloitte Tax partner and his wife have been charged with insider dealing by the SEC in the US as part of a joint investigation with the FSA.
25 October 2010
The US Securities and Exchange Commission questioned Warren Buffett's Berkshire Hathaway in Q2 on why it was not writing down large losses on shares in Kraft and US Bancorp.
07 October 2010
The manager of an AIM-listed China trust – which is held by Fidelity’s Anthony Bolton, Baillie Gifford and Henderson – is under investigation by the US regulator.
01 October 2010
The SEC has charged two employees of Boston-based State Street with misleading investors over exposure to sub-prime debt.
16 July 2010
The US Senate has approved the largest overhaul of financial regulation since the Great Depression, which is aimed at averting a repeat of the recent credit crisis.
19 May 2010
The US Securities and Exchange Commission (SEC) has put in place new stock trading restrictions to prevent a repeat of the Dow’s dramatic plunge earlier this month.
09 May 2010
Goldman Sachs is to "sue for peace" in the fraud trial brought by the SEC over its Abacus vehicle.
19 April 2010
The value of Warren Buffett’s options to buy Goldman Sachs shares fell by over $1bn after the SEC sued the investment banking giant on Friday.
19 October 2009
What are the Financial Accounting Standards Board’s recent rule changes and what are their implications and potential risks for investors?
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Video
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