Purpose To explain a recent US Securities and Exchange Commission (SEC) administrative proceeding targeting a broker-dealer as part of the Commission’s continuing efforts to enforce anti-money laundering (AML) regulations and reporting. Design/methodology/approach This article explores the...

An overview of the treatment of reverse-payment agreements by the agencies, the appellate courts, Congress, and the European Commission.

Purpose: To provide an overview of the Commodity Futures Trading Commission’s (CFTC’s) new self-reporting and cooperation program. Design/methodology/approach: Summarizes the key features of the CFTC’s new cooperation program and the CFTC’s statement of its purpose in enacting the...

In the aftermath of the global economic collapse of 2008, policymakers from around the world have been considering regulations designed to reduce the risk of future economic turmoil. Their focus has been on powers and procedures designed to reduce systemic risk and to help ensure financial...

The government's 2011 prosecution of hedge fund manager Raj Rajaratnam and the various investigations into the use of expert networks by hedge funds and other institutional investors have prompted questions about the law of insider trading, permissible methods of gathering information, general...