Oct 25 2006 | 5:55pm ET
The NASD has imposed its largest fine ever against an individual for market timing. The regulatory agency issued a $2.25 million sanction against hedge fund manager Paul Saunders, chairman and CEO of Richmond, Va.-based James River Capital Corporation.
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…