Richard Ketchum News
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A top official for the Financial Industry Regulatory Authority resigned after the agency was informed he was indicted for felony theft and charitable bingo fraud in 1993, the year he joined the agency.
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Broker-dealers should increase oversight of customers who trade over their systems, with special focus on strategies known as algorithms, said Richard Ketchum of the Financial Industry Regulatory Authority.
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Debacles like Knight Capital Group Inc.’s August trading loss will be avoided if brokers exercise more vigilance overseeing their risk controls, according to the head of the Financial Industry Regulatory Authority.
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Wall Street’s self-regulator announced today that it has hired a chief economist who will for the first time shape a formal process for measuring the costs and benefits of new regulations.
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Money ordered recovered by the Financial Industry Regulatory Authority rose last year from 2011 as it punished brokers who overcharged or sold unsuitable products, Richard Ketchum, head of Wall Street’s self-funded regulator, said in a phone interview.
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Congress may hand oversight of almost 12,000 investment advisers to Wall Street’s self-funded regulator as a cost-saving measure. The price could be paid by investors.
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The Financial Industry Regulatory Authority will take over surveillance of NYSE Euronext’s U.S. exchanges and responsibility for policing trading violations as part of a further consolidation of market oversight.
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Structured products are “areas of concern” for the Financial Industry Regulatory Authority, said Richard Ketchum , head of Wall Street’s self-funded regulator.
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The Financial Industry Regulatory Authority is revamping how it scans for abuses such as insider trading, responding to increased fragmentation of markets, Chief Executive Officer Richard Ketchum said today.
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Regulators may have to increase oversight of more complex financial products if banks don’t clamp down on improper sales practices, the head of the Financial Industry Regulatory Authority said.
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