Oct 7 2008 | 10:13am ET
An internal inquiry has found that the Securities and Exchange Commission erred in its investigation of alleged insider trading at hedge fund Pequot Capital Management, with disciplinary action recommended for three high-ranking officials at the SEC.
Jul 8 2014 | 10:48am ET
The surge in derivatives regulation is among the most complex challenges facing the financial services industry today. Northern Trust’s Joshua Satten recently spoke with FINalternatives to share insights into the challenges presented by new regulation and explore how the industry is responding. Read more…