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'corporate crime' related content

Editorial content matching 'corporate crime'
Content with tags matching 'corporate crime':

News: Exchanges Get Closer Inspection [Wall Street Journal]

1851 days ago,(2012/11/20) - HFT Review

News: SEC Automating Analysis of Suspicious Trading Patterns [Traders Magazine]

1890 days ago,(2012/10/12) - HFT Review

News: Industry to SEC: We like the idea of kill switches, live test symbols and standards [Automated Trader]

1900 days ago,(2012/10/03) - HFT Review

News: Ops, Tech Execs Named for SEC Market Stability Roundtable [Traders Magazine]

1901 days ago,(2012/10/01) - HFT Review

News: SEC May Extend Planned Rule to Brokers, Shillman Says [Bloomberg]

1916 days ago,(2012/09/17) - HFT Review

News: New York Stock Exchange Settles Case Over Early Data Access [New York Times]

1916 days ago,(2012/09/17) - HFT Review

News: SEC says bolstering market technology standards a priority [Reuters]

1918 days ago,(2012/09/14) - HFT Review

News: Wall Street Lobbies to Prevent SEC Changes to High Frequency Trading and Stock Market Structure [Huffington Post]

1940 days ago,(2012/08/23) - HFT Review

News: As Foreign Regulators Take On High-Frequency, U.S. Rules Lag [WSJ]

1946 days ago,(2012/08/17) - HFT Review

News: Tradeworx CEO Talks Real Time on SEC Data Contract [Traders Magazine]

1971 days ago,(2012/07/23) - HFT Review

News: SEC Votes To Require Consolidated Audit Trail For Markets [Bloomberg]

1981 days ago,(2012/07/13) - HFT Review

News: SEC backs audits to avoid flash crash [Financial Times]

1981 days ago,(2012/07/13) - HFT Review

News: Shenzhen Stock Exchange Rallies Efforts To Enhance Investor Protection

2005 days ago,(2012/06/20) - News Articles

News: Canadian Securities Regulators Propose Enhanced Disclosure Requirements On Investment Costs And Performance

2010 days ago,(2012/06/14) - News Articles

News: Speech By SEC Chairman Mary L. Schapiro: Remarks At The Meeting of the Investor Advisory Committee

2011 days ago,(2012/06/13) - News Articles

News: Public Statement By SEC Commissioner Luis A. Aguilar: Investor Voices Renewed: The New Investor Advisory Committee

2012 days ago,(2012/06/12) - News Articles

News: Tokyo Stock Exchange: Memorandum Of Understanding With Central Bank Of Myanmar Pertaining To Support For Establishing A Securities Exchange

2027 days ago,(2012/05/29) - News Articles

News: Regulators Finishing Probes on Layering, Spoofing of Trades [Securities Technology Monitor]

2030 days ago,(2012/05/25) - High Frequency Trading Review

News: New Zealand's Financial Markets Authority Welcomes Belgrave Finance Guilty Plea

2031 days ago,(2012/05/25) - News Articles

News: SEC Charges Northern California Fund Manager in $60 Million Scheme

2031 days ago,(2012/05/24) - News Articles

News: SIFMA Looks at Segregation of Market Maker Desks [Traders Magazine]

2033 days ago,(2012/05/23) - High Frequency Trading Review

News: FX MM Magazine, Louis Lovas, A Grand Bargain or a Bridge to Nowhere

2037 days ago,(2012/05/18) - OneMarketData In The News

News: China is not ready for high-frequency trading: official [Morning Whistle]

2037 days ago,(2012/05/18) - High Frequency Trading Review

News: James Burns Named Deputy Director In SEC's Division Of Trading And Markets

2038 days ago,(2012/05/17) - News Articles

News: Erica Williams Named SEC's Deputy Chief Of Staff

2038 days ago,(2012/05/17) - News Articles

News: SEC Charges Seattle-Based Fund Manager For Secretly Diverting Client Funds To His Own Start-Up Companies

2038 days ago,(2012/05/17) - News Articles

News: Testimony Of U.S. Treasury Deputy Assistant Secretary Lance Auer Before The House Financial Services Financial Institutions Subcommittee On Implementing Title I Of The Dodd-Frank Act: Regulating Ssystemically Important Nonbank Financial Institutions

2039 days ago,(2012/05/16) - News Articles

News: Direct Edge Regulatory Notice #12-03: Telemarketing Rules - Effective June 29, 2012

2039 days ago,(2012/05/16) - News Articles

News: FINRA Warns Investors Of Nutraceutical Stock Scams

2039 days ago,(2012/05/16) - News Articles

News: Proxy Fee Advisory Committee Proposes Recommendations On Proxy Distribution Fees - Recommendations Reflect The Views Of Issuers, Brokers And Investors And Propose To Streamline Proxy Fees And Make Them More Transparent To Issuers

2039 days ago,(2012/05/16) - News Articles

News: Disclosure Office Of SIX Swiss Exchange Publishes Its Annual Report For 2011 - Less Suspected Disclosure Violations Reported

2041 days ago,(2012/05/15) - News Articles

News: Hong Kong's Securities And Futures Commission: Court Varies Sentence Against Unlicensed Securities Advisor

2041 days ago,(2012/05/14) - News Articles

News: Markets watchdogs urged to flag up risks [Financial Times]

2041 days ago,(2012/05/14) - High Frequency Trading Review

News: Statement Concerning Publication By IOSCO On April 27, 2012 Of The Consultation - Report Of The IOSCO Standing Committee 5 On Money Market Funds: Money Market Fund Systemic Risk Analysis And Reform Options.

2044 days ago,(2012/05/11) - News Articles

News: Concurrence Statement On The Amendment To The July 17, 2011 Exemptive Order - CFTC Commissioner Scott D. OMalia

2045 days ago,(2012/05/10) - News Articles

News: Opening Statement, Open Meeting To Consider One Final Rule On Core Principles And Other Requirements For Designated Contract Markets - CFTC Commissioner Scott D. OMalia

2045 days ago,(2012/05/10) - News Articles

News: Forget the Flash Crash. Could a 'Splash Crash' Be On the Horizon? [Advanced Trading]

2046 days ago,(2012/05/10) - High Frequency Trading Review

News: SEC Charges Former Detroit Officials And Investment Adviser To City Pension Funds In Influence Peddling Scheme

2046 days ago,(2012/05/09) - News Articles

News: Hong Kong markets must adapt, SFC says [Financial Times]

2046 days ago,(2012/05/09) - High Frequency Trading Review

News: SEC Charges Deloitte & Touche In Shanghai With Violating U.S. Securities Laws In Refusal To Produce Documents

2046 days ago,(2012/05/09) - News Articles

News: Proposed Consolidated Audit Trail Could Impact High-Frequency Traders [CFTC Law]

2048 days ago,(2012/05/07) - High Frequency Trading Review

News: Waters Technology, Miami International Securities Exchange Files with the SEC

2051 days ago,(2012/05/04) - OneMarketData In The News

News: SEC Reopens Comment Period For Proposed Amendments To Its Net Capital, Customer Protection, Books And Records, And Notification Rules For Broker-Dealers

2052 days ago,(2012/05/03) - News Articles

News: Hong Kong's Securities And Futures Commission: New Regulatory Measures Take Effect Under Securities And Futures (Amendment) Ordinance

2052 days ago,(2012/05/03) - News Articles

News: SEC Pushing for More High Tech Modelling [Securities Technology Monitor]

2052 days ago,(2012/05/03) - High Frequency Trading Review

News: SEC Charges Mother, Daughter, And Their Attorney In Illegal Penny Stock Scheme

2055 days ago,(2012/04/30) - News Articles

News: George Canellos Named Deputy Director Of SEC Enforcement Division

2055 days ago,(2012/04/30) - News Articles

News: New Zealand's Financial Markets Authority Welcomes Petricevic Sentencing

2060 days ago,(2012/04/26) - News Articles

News: SEC Charges Chinese Company And Executives With Lying About Asset Values And Use Of IPO Proceeds - Companys Chairman Accused Of $40 Million Theft

2062 days ago,(2012/04/23) - News Articles

News: SEC Names Diane C. Blizzard As Associate Director For Regulatory Policy And Investment Adviser Regulation

2066 days ago,(2012/04/19) - News Articles

News: Statement At Open Meeting To Adopt The Joint Final Rule, Joint Interim Final Rule, And Final Interpretations Regarding The Further Definition Of Swap Dealer, Security-Based Swap Dealer, Major Swap Participant, Major Security-Based Swap Participant, and Eligible Contract Participant By SEC Commissioner Troy A. Paredes

2067 days ago,(2012/04/18) - News Articles

News: Thai Bourse, Brokerages Move To Improve Service Quality

2067 days ago,(2012/04/18) - News Articles

News: SEC Brings Knife to HFT Gunfight [Advanced Trading]

2069 days ago,(2012/04/17) - High Frequency Trading Review

News: SEC Investigating Relations Between Rapid-Fire Firms,Stock Exchanges [Wall Street Journal]

2081 days ago,(2012/04/04) - High Frequency Trading Review

News: Lombard Verdicts Highlight Directors Duties, Says New Zealand's Financial Markets Authority

2088 days ago,(2012/03/29) - News Articles

News: SEC Probes Rapid Trading [Wall Street Journal]

2091 days ago,(2012/03/25) - High Frequency Trading Review

News: Jump Trading takes a leap in Europe [Financial News]

2091 days ago,(2012/03/25) - High Frequency Trading Review

News: SEC Establishes New Supervisory Cooperation Arrangements With Foreign Counterparts

2093 days ago,(2012/03/23) - News Articles

News: Speech By SEC Commissioner Luis A. Aguilar: Why Seniors Are More Vulnerable Now As Targets For Financial Abuse

2095 days ago,(2012/03/21) - News Articles

News: Remarks At The SIFMA C&L Conference By SEC Chairman Mary L. Schapiro

2096 days ago,(2012/03/20) - News Articles

News: Public Statement By SEC Staff: Commission Credits Individual Under Cooperation Initiative By Robert Khuzami, Director, Division Of Enforcement

2097 days ago,(2012/03/19) - News Articles

News: SEC Charges Bay Area Investment Adviser For Defrauding Investors With Bogus Audit Report

2101 days ago,(2012/03/15) - News Articles

News: Keynote Address At PLI - Eleventh Annual Institute On Securities Regulation In Europe By Meredith Cross, Director, Division Of Corporation Finance, U.S. Securities And Exchange Commission

2104 days ago,(2012/03/12) - News Articles

News: Keynote Address: Investment Adviser Association Investment Adviser Compliance Conference/2012 By Commissioner Daniel M. Gallagher, U.S. Securities and Exchange Commission

2108 days ago,(2012/03/08) - News Articles

News: Testimony Before The Subcommittee On Financial Services And General Government Committee On Appropriations - United States House Of Representatives By Chairman Mary L. Schapiro, U.S. Securities And Exchange Commission

2110 days ago,(2012/03/06) - News Articles

News: Ongoing Regulatory Reform In The Global Capital Markets - Commissioner Daniel M. Gallagher U.S. Securities And Exchange Commission Annual Conference Of The Institute of International Bankers Washington, D.C., March 5, 2012

2110 days ago,(2012/03/06) - News Articles

News: SEC Obtains Asset Freeze Against Long Island Investment Adviser Charged With Defrauding Investors

2110 days ago,(2012/03/06) - News Articles

News: Marshall Gandy Named Head Of Examinations Program In SECs Fort Worth Regional Office

2114 days ago,(2012/03/02) - News Articles

News: Tokyo Stock Exchange: Release Of The Revisions To Listing Rules Regarding Corporate Governance To Restore Confidence In The Securities Market

2114 days ago,(2012/03/02) - News Articles

News: Hong Kong's Securities and Futures Commission Bans Miranda Hui Chi Cheung From Re-Entering Industry For 10 Years

2115 days ago,(2012/03/02) - News Articles

News: Fee Rate Advisory #6 For Fiscal Year 2012

2115 days ago,(2012/03/01) - News Articles

News: Wedbush Opens Trading Business Unit for Investment Managers [Bloomberg]

2116 days ago,(2012/03/01) - High Frequency Trading Review

News: New Zealand's Financial Markets Authority Warns Of Illegal Offer By Makko Securities To Advise On Facebook IPO

2117 days ago,(2012/02/29) - News Articles

News: CFTC Proposes Rules To Help Prevent And Detect Identity Theft

2117 days ago,(2012/02/28) - News Articles

News: SEC Proposes Rules To Help Prevent And Detect Identity Theft

2117 days ago,(2012/02/28) - News Articles

News: Tapping the Brakes on High-Speed Trading [Barron's]

2118 days ago,(2012/02/27) - High Frequency Trading Review

News: Regulators Scrutinize Ties With Exchanges [Wall Street Journal]

2118 days ago,(2012/02/27) - High Frequency Trading Review

News: Remarks At The SEC Speaks In 2012 By SEC Commissioner Daniel M. Gallagher

2121 days ago,(2012/02/24) - News Articles

News: Shining A Light On Expenditures Of Shareholder Money By SEC Commissioner Luis A. Aguilar - Practising Law Institutes SEC Speaks In 2012

2121 days ago,(2012/02/24) - News Articles

News: Remarks At The SEC Speaks In 2012 By SEC Commissioner Troy A. Paredes

2121 days ago,(2012/02/24) - News Articles

News: SEC Charges Three Oil Services Executives With Bribing Customs Officials in Nigeria

2121 days ago,(2012/02/24) - News Articles

News: Remarks By SEC Commissioner Daniel M. Gallagher At The Credit Suisse Global Equity Trading Forum

2121 days ago,(2012/02/24) - News Articles

News: Speech By SEC Chairman, Mary L. Schapiro: Remarks At The Practising Law Institutes SEC Speaks

2121 days ago,(2012/02/24) - News Articles

News: Thai Bourse Continues To Enhance Investment Channel Via Banks, Brokers

2121 days ago,(2012/02/24) - News Articles

News: Unreasonably Feeble - Opening Statement Of CFTC Commissioner Scott D. OMalia Regarding Open Meeting On One Final Rule And One Proposed Rule1

2122 days ago,(2012/02/23) - News Articles

News: High-frequency trading raises concerns at SEC [Washington Post]

2122 days ago,(2012/02/23) - High Frequency Trading Review

News: IOSCO Consults On Suitability Requirements For Complex Financial Products

2124 days ago,(2012/02/21) - News Articles

News: KDPW Poland: Increase Of The Number Of Securities Accounts In January 2012

2129 days ago,(2012/02/16) - News Articles

News: Institutional Investors Call On U.S. Securities And Exchange Commission To Implement Financial Market Reforms

2132 days ago,(2012/02/13) - News Articles

News: SEC Charges California Hedge Fund Manager Connected To Galleon Insider Trading Case

2135 days ago,(2012/02/10) - News Articles

News: SEC Charges Former Pharmaceutical Company Employee With Insider Trading On Biotech Deals

2136 days ago,(2012/02/09) - News Articles

News: SEC approves BATS Listings Market Maker program [Automated Trader]

2138 days ago,(2012/02/07) - High Frequency Trading Review

News: SEC Charges Smith & Nephew PLC With Foreign Bribery

2139 days ago,(2012/02/06) - News Articles

News: Commodity Futures Trading Commission And Securities and Exchange Commission Release Joint Report To Congress On International Swap Regulation

2143 days ago,(2012/02/02) - News Articles

News: High-Frequency Trading Could Cause Another Flash Crash [Money Morning]

2144 days ago,(2012/02/01) - High Frequency Trading Review

News: Direct Edge Trading Notice #12-07: Section 31 Rate Change Effective February 21, 2012

2145 days ago,(2012/01/31) - News Articles

News: Speech By SEC Staff: Remarks At The Compliance Outreach Program By Carlo V. Di Florio, Director, Office Of Compliance Inspections And Examinations, U.S. Securities And Exchange Commission

2145 days ago,(2012/01/31) - News Articles

News: AFME hits at Europe trade reporting proposals [Financial Times]

2149 days ago,(2012/01/27) - High Frequency Trading Review

News: SEC Advisory Committee on Small And Emerging Companies to Meet Wednesday

2150 days ago,(2012/01/26) - News Articles

News: Remarks By Commissioner Elisse B. Walter At The 2011 SEC Government-Business Forum On Small Business Capital Formation

2150 days ago,(2012/01/26) - News Articles

News: Chimera Securities Selects OneTick to Power Tick Data Management and Analysis

2153 days ago,(2012/01/24) - OneMarketData Press Releases

News: ASIC Improves Disclosure By Infrastructure Entities

2153 days ago,(2012/01/24) - News Articles

News: Comment: SECs audit trail gamble [Financial Times]

2153 days ago,(2012/01/23) - High Frequency Trading Review

News: Diamondback Capital Agrees To Settle SEC Insider Trading Charges

2153 days ago,(2012/01/23) - News Articles

News: SIX Exchange Regulation: Investigation Against Dufry Ltd

2158 days ago,(2012/01/19) - News Articles

News: New Zealand's Financial Markets Authority And Serious Fraud Office Sign Memorandum Of Understanding

2158 days ago,(2012/01/19) - News Articles

News: SEC Obtains Emergency Relief Against St. Louis-Based Private Investment Funds After Charging Them And Their Principal With Fraud

2158 days ago,(2012/01/18) - News Articles

News: SEC Seeks Public Comment For Financial Literacy Study Mandated By Dodd-Frank Act

2158 days ago,(2012/01/18) - News Articles

News: Aritas Securities Succeeds Pipeline Trading Systems, Reflecting Significant Operational Changes

2158 days ago,(2012/01/18) - News Articles

News: Remarks At The SRO Outreach Conference By SEC Commissioner Daniel M. Gallagher

2163 days ago,(2012/01/13) - News Articles

News: HKEx Publishes Results Of Stock Exchange Review Of Listed Issuers' Financial Reports

2163 days ago,(2012/01/13) - News Articles

News: Texas-Based Accountant Pleads Guilty To Lying To SEC Investigators

2164 days ago,(2012/01/12) - News Articles

News: SEC Names Robert Fisher As Deputy Director In Office Of International Affairs

2164 days ago,(2012/01/12) - News Articles

News: Shanghai Stock Exchange Launches Appraisal On Excellent Cases Of Investor Education

2167 days ago,(2012/01/10) - News Articles

News: SEC: Administrative Law Judge Robert G. Mahony Retires After 46 Years Of Federal Service

2171 days ago,(2012/01/05) - News Articles

News: SEC Advisory Committee On Small And Emerging Companies To Hold Conference Call Meeting

2172 days ago,(2012/01/04) - News Articles

News: SEC Charges Illinois-Based Adviser In Social Media Scam - Agency Issues Alerts On Social Media Risks For Investors And Firms

2172 days ago,(2012/01/04) - News Articles

News: SEC Charges Life Settlements Firm And Three Executives With Disclosure And Accounting Fraud - CEO And General Counsel Additionally Charged With Insider Trading

2173 days ago,(2012/01/03) - News Articles

News: SEC uncertain flash crash measures can work together effectively [The Trade News]

2173 days ago,(2012/01/03) - High Frequency Trading Review

News: The Glacial Response of the S.E.C. to the Rise of High-Speed Trading and Market Volatility [Huffington Post]

2173 days ago,(2012/01/03) - High Frequency Trading Review

News: NASDAQ OMX Helsinki Disciplinary Committee Issued A Warning To Biohit Oyj For Breaching The Rules Of The Stock Exchange

2179 days ago,(2011/12/28) - News Articles

News: SEC Charges Securities Trader With Cross-Border Fraudulent Interpositioning Scheme

2184 days ago,(2011/12/23) - News Articles

News: U.S. Agencies Extend Comment Period On Volcker Rule Proposal

2184 days ago,(2011/12/23) - News Articles

News: SEC Charges GE Funding Capital Market Services With Fraud Involving Municipal Bond Proceeds - Firm Agrees To Pay $70 Million In Settlement With SEC And Others

2184 days ago,(2011/12/23) - News Articles

News: Thai Bourse To Admit New Members

2184 days ago,(2011/12/23) - News Articles

News: Remarks At The 2011 SEC Government-Business Forum On Small Business Capital Formation By SEC Chairman Mary L. Schapiro

2186 days ago,(2011/12/21) - News Articles

News: SEC Charges California Company, Co-CEOs, And Attorney In Series Of Fraudulent Schemes Pumping Company Stock

2187 days ago,(2011/12/20) - News Articles

News: Michael Garrity Named Head Of Examination Program In SEC's Boston Regional Office

2188 days ago,(2011/12/19) - News Articles

News: Thai Stock Market Flood Relief Fund Gears Up Post-Flood Relief Projects

2188 days ago,(2011/12/19) - News Articles

News: BM&FBOVESPA Receives Two Chinese Delegations In December - The Institutions: China Futures Association (CFA) And Orient Securities

2191 days ago,(2011/12/16) - News Articles

News: SEC Statement On Citigroup Case

2192 days ago,(2011/12/15) - News Articles

News: SEC Reform After Dodd-Frank And The Financial Crisis By SEC Commissioner Daniel M. Gallagher

2193 days ago,(2011/12/14) - News Articles

News: Boosting Capital Market By Improving Investors' Rationality - The Shanghai Stock Exchange Will Do Its Best To Build Online Investors' School

2194 days ago,(2011/12/13) - News Articles

News: KDPW, Poland: Number Of Securities Accounts In November 2011

2194 days ago,(2011/12/13) - News Articles

News: SEC Charges "Shell Packagers" And Several Others In Penny Stock Scheme

2195 days ago,(2011/12/12) - News Articles

News: Keynote Address Before Edison Electric Institute, CFTC Dodd Frank - Compliance Forum - CFTC Commissioner Scott D. OMalia

2195 days ago,(2011/12/12) - News Articles

News: SEC Beefs Up Market Structure Crimes Unit [Traders Magazine]

2199 days ago,(2011/12/09) - High Frequency Trading Review

News: SEC Names Lacey Dingman As Director Of The Office Of Human Resources

2199 days ago,(2011/12/08) - News Articles

News: SEC Announces National Seminar For Compliance Officers And Senior Personnel At Investment Management Firms

2199 days ago,(2011/12/08) - News Articles

News: Mizuho Securities USA Inc. Selects Trading Technologies Global Hosting Solution, TTNET™

2199 days ago,(2011/12/08) - TT News Releases Feed

News: SEC Halts Prime Bank Scheme By Washington D.C. Law Firm And Pennsylvania Company

2201 days ago,(2011/12/06) - News Articles

News: Testimony On Continued Oversight Of The Implementation Of The Wall Street Reform Act By SEC Chairman Mary L. Schapiro - Before The United States Senate Committee On Banking, Housing, And Urban Affairs

2201 days ago,(2011/12/06) - News Articles

News: SEC, U.S. Attorney And FBI Announce 13 Charged In Connection With Securities Kickback Schemes - SEC Suspends Trading In Seven Companies

2206 days ago,(2011/12/01) - News Articles

News: Kristin Snyder Named Head Of Examinations Program In SEC's San Francisco Regional Office

2208 days ago,(2011/11/29) - News Articles

News: SEC Penalizes Investment Advisers For Compliance Failures

2209 days ago,(2011/11/28) - News Articles

News: Thai Stock Market Flood Relief Fund Joins Red Cross To Aid Flood Victims

2209 days ago,(2011/11/28) - News Articles

News: SEC Needs Resources to Police Algorithmic Trading, Khuzami Says [Bloomberg]

2221 days ago,(2011/11/17) - High Frequency Trading Review

News: Japans Financial Services Agency: Remarks By Shozaburo Jimi, Minister Of State For Financial Services

2226 days ago,(2011/11/11) - News Articles

News: SEC Charges China-Based Longtop Financial Technologies For Deficient Filings

2227 days ago,(2011/11/10) - News Articles

News: Three Former Directors At Military Body Armor Supplier Settle SEC Charges

2227 days ago,(2011/11/10) - News Articles

News: SEC Announces Agenda And Speakers For Government-Business Forum On Small Business Capital Formation

2228 days ago,(2011/11/09) - News Articles

News: SEC Enforcement Division Produces Record Results In Safeguarding Investors And Markets - Agencys Fiscal Year Totals Show Most Enforcement Actions Filed In Single Year

2228 days ago,(2011/11/09) - News Articles

News: Daniel Gallagher Sworn In As SEC Commissioner

2230 days ago,(2011/11/07) - News Articles