Regulation Archive

Australian securities watchdog proposes stricter testing and controls on high-frequency trading systems

Aug 12, 2012

3 min read

The Australian Securities and Investments Commission (ASIC) has proposed a series of fines, tests and controls to help regulate...

Regulation

New SEC testing and reporting standards expected

Aug 08, 2012

By Adam Brown

3 min read

A series of mistaken trades that inflicted $440 mn worth of damage on Knight Capital last week and nearly wiped out the firm will...

Regulation

Companies defended by former SEC lawyers may suffer greater penalties, study shows

Aug 06, 2012

By Adam Brown

2 min read

Former lawyers for the SEC who are hired by private firms to defend against SEC-related cases are more likely to suffer stricter...

Regulation

Knight Capital Group errant trading sparks calls for market overhaul, preventive measures

Aug 02, 2012

By Adam Brown

3 min read

The $440 mn loss by Knight Capital Group, one of the main market makers in the United States, in less than one hour of errant...

Regulation

The IR papers: quiz edition

Jul 29, 2012

By Jeff Cossette

3 min read

Questions1. Analyst speaking tone during quarterly conference calls is most positive when the firm:a) Avoids lossesb) Avoids...

Regulation

SEC moves toward tighter HFT monitoring

Jul 24, 2012

By Adam Brown

3 min read

The SEC has contracted a high-frequency trading (HFT) platform vendor to help monitor the equities and options markets in real...

Regulation

Kay recommends broad changes to UK equity markets

Jul 22, 2012

By Candice de Monts-Petit

2 min read

There should be a reduction in the number of financial intermediaries and the reestablishment of a ‘fiduciary duty’ for investment...

Regulation

Reverse maneuver

Jun 28, 2012

By Tim Human

2 min read

The SEC’s action against reverse mergers in the US market continued in May when the commission announced it had suspended the...

Regulation

IR Papers: Cost of cutting (up)

Jun 17, 2012

By Jeff Cossette

3 min read

Companies with better segment disclosure enjoy lower cost of equity capital, say Spanish researchers. When they sampled SFAS 131...

Regulation

Authorities target disclosure leaks

Apr 29, 2012

By Ian Williams

5 min read

The SEC’s enforcement is tough and getting tougher and, beyond the commission, state and federal attorneys are responding to...