Compliance

President Obama reiterated his proposals for cuts in business and individual taxes and called on Republicans and Democrats to work together after the elections.

While reforming the government-sponsored enterprises was always going to be a hard battle for the Obama administration, its job will be even tougher if the Republicans, as expected, win control of the House this week.

Congress's offer to share some recovered assets with whistleblowers is leading to a flood of informants.

The Securities and Exchange Commission has postponed the municipal securities field hearing it planned to hold in Chicago on Nov. 16.

The Securities and Exchange Commission crossed a new threshold this week by securing financial penalties against individual city officials in a municipal bond fraud case.

The Massachusetts Democrat continues to hold a sizable lead in polls, but his opponent, Republican Sean Bielat, argues that public anger over the economy, anti-incumbent fervor and Sen. Scott Brown's surprise victory this year prove he has a shot at beating Frank.

In an anecdote studded Q&A Wednesday morning at the Schwab IMPACT 2010 Conference in Boston, Henry Paulson (left) discussed how he rescued the financial system and saved the country from economic ruin.

Four former San Diego officials have agreed to pay civil penalties totaling $80,000 to settle charges with the Securities and Exchange Commission that they were negligent in misleading investors about the city’s pension and retiree health care liabilities.

The Securities and Exchange Commission and the Connecticut banking commission have sued a Connecticut hedge fund manager with fraud.

The President’s Working Group on Financial Markets released its report on Money Market Fund Reform Options, reigniting the controversial debate over floating net asset values, banking regulations such as insurance and a private emergency liquidity facility and meeting redemption requests in kind.

Chief compliance officers face increasing responsibilities and feel that they are struggling to keep up with the pressure of regulatory changes, an SEI poll conducted at its CCO Forum finds.

Chief compliance officers face increasing responsibilities and feel that they are struggling to keep up with the pressure of regulatory changes, an SEI poll conducted at its CCO Forum finds.

Capitol Hill’s efforts to fix the financial system will merely burden already cash-strapped banks, their officers complain.

The new European Union hedge fund passport rule the European Parliament is soon to vote on, will permit all hedge funds, including those in the U.S., to operate throughout all of Europe’s 27 nations—but it would also subject them to the strict compensation rules.

Citigroup Inc. Chief Executive Vikram Pandit offered up a scathing review Monday of Basel III, saying the new rules do nothing to reduce pro-cyclicality or to level the playing field among different countries and differently regulated financial institutions.

The SEC and Connecticut Banking Commissioner Howard Pitkin charged Southridge Capital Management LLC and its chief executive officer, Stephen M. Hicks, with defrauding investors in million of undeserved fees.

The Internal Revenue Service is kicking off the first round of audits of Build America Bonds and is asking issuers if any potentially related entities, such as pension plans, are buying their BABs, according to issuers and IRS officials.

President Obama's appointment of Elizabeth Warren as the top administration official in charge of setting up the Consumer Financial Protection Bureau avoided a probable Senate confirmation battle but continues to raise doubts about her authority.

Institutional investment managers may soon have to report to the Securities and Exchange Commission on what say they have on executive pay at the firms they invest in.

Making the switch to state supervision is the hardest part. After that, monitoring is comparatively light.