‘Blast emails’ to retail investors a major offender under Rule 2210
This panel will discuss ways to allocate resources and minimize potential exposure with a set of analytical tools to assess, simulate and quantify operational risk capital to improve business efficiency and performance across the enterprise.
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The two structured products distributors will operate as a single entity after parent company announces redundancies affecting 20% of staff
Uniform fiduciary standard may raise the bar for investment advisers and broker-dealers
PrinceRidge Group distributes structured products to a client base that includes leading broker-dealers across the US. Yakob Peterseil talks to managing director Joe Castelluccio about what he has l...
When swaps become futures
Tweaks to Mifid text would allow owners of OTFs to engage in matched principal trading
Broker/Dealer Custody & Clearing Provider of the Year: JP Morgan
SEC/CFTC Capital Markets Working Group could be "just another talking shop"
Survey released today in Prague also shows increases in portfolio reconciliation
In response to industry fears of a collateral crunch, regulators have revised the proposed rules on margining for uncleared over-the-counter (OTC) derivatives.You can find out more by downloading this white paper here.