Regulatory News
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Visa, Mastercard ask U.S. court to declare card fees are lawful
NEW YORK - Visa Inc and MasterCard Inc, opening another front in an eight-year battle over credit card fees paid by retailers, on Friday asked a federal judge to declare that the fees do not violate antitrust law.
Proxy advisory firm settles SEC charges over data breach
WASHINGTON - Institutional Shareholder Services has settled civil charges by U.S. regulators that an employee of the prominent proxy advisory firm shared nonpublic voting data in exchange for meals and concert tickets.
SEC charges former LPL adviser with $2 million civil fraud
- The top securities regulator on Thursday filed civil fraud charges against a former LPL Financial LLC adviser, charging he diverted some $2 million of client funds to use for personal expenses.
Auditor watchdog finds fault with Ernst & Young
- The regulator of corporate auditors said on Thursday that the U.S. arm of global accounting firm Ernst & Young failed to fix quality control problems found in earlier reviews.
EU watchdog seeks powers over cross-border insurers
FRANKFURT - EU insurance watchdog EIOPA on Friday set out a wish list of new powers it is seeking, including stepped-up supervision rights over the bloc's big insurers.
Former Goldman banker settles SEC 'pay-to-play' charges
WASHINGTON/CHICAGO - A former Goldman Sachs Group Inc. investment banker has agreed to a five-year securities industry ban and a record fine to settle Securities and Exchange Commission charges that he broke rules against influence peddling to win bond underwriting business in Massachusetts.
UK regulator fines JPMorgan 3 million pounds
LONDON - Britain's Financial Conduct Authority (FCA) said it has fined a wealth management unit of U.S. bank JPMorgan Chase 3.08 million pounds ($4.6 million) for being unable to show it was giving clients the right advice.
SEC charges South Miami with fraud over debt deals
WASHINGTON - The city of South Miami, Florida, defrauded investors by not disclosing problems with the tax-exempt status of two bond deals, U.S. securities regulators said on Wednesday in their second municipal bond fraud-enforcement action this month.
Regulatory watchdog FINRA to oversee Direct Edge's surveillance
NEW YORK - U.S. exchange operator Direct Edge has agreed to allow the Financial Industry Regulatory Authority to oversee surveillance of its two stock exchanges, expanding the watchdog regulator's oversight to more than 90 percent of U.S. equity markets.
Massachusetts reaches $9.6 million REIT settlement with five broker: dealers
BOSTON - Five independent broker-dealers will pay at least $9.6 million in fines and restitution to settle what Massachusetts' top securities regulator has called their improper sales of non-traded real estate investment trusts, or REITs.
- Financial: UPDATE 1-Ex-Virginia bank executives guilty in financial crisis case
- Technology: UPDATE 2-Egyptian tycoon to buy MTS fiber network in new Canada push
- Healthcare: UPDATE 1-Bausch & Lomb's Ista pleads guilty over kickbacks
- Consumer: Market Chatter-Corporate finance press digest
- Energy: Exxon still waiting for ruptured Pegasus pipeline test results
- Industrials: UPDATE 1-U.S. audit regulator reaches deal with China on document access
- M&A: UPDATE 1-Petrobras says it has rejected offers for Argentine assets
- Bankruptcy: U.S. Justice Dept opposes AMR's $20 mln severance for CEO Horton
- IPOs: BRIEF-Lombard Medical tech to raise 21 mln stg through placing, subscription
- Private Capital: CORRECTED-Tiger Global invests $50 million in Automattic's WordPress.com
- Hedge Funds: Toscafund bullish on UK economy and stock market
No bank is ‘too big to jail,’ U.S. Attorney General Holder warns
With statutes of limitations about to run out on much of the pre-crisis conduct, Holder and the DoJ, as well as the regulatory agencies, will have to scramble to bring civil and criminal cases in time.
- Judge rules against 'America's toughest sheriff' in racial profiling lawsuit
- Durable goods orders point to factory resilience
- UK fighters escort Pakistan plane to airport, two arrests
- Syria opposition unity talks face specter of collapse
- Stockholm calmer but violence spreads outside Swedish capital
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- Taliban attack international compound in Afghan capital
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- British security services in spotlight after soldier murder
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- Kerry says Israelis, Palestinians must make tough decisions
- Truck crash caused Washington state bridge collapse: officials
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- U.S. casts doubt on credibility of Iran election
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