‘Blast emails’ to retail investors a major offender under Rule 2210
A highly engaging intensive one-week programme designed to meet the demands of the risk professional by bridging the gap between theory and practice in financial risk management. Save your seat now: programme starts March 23rd 2015.
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The two structured products distributors will operate as a single entity after parent company announces redundancies affecting 20% of staff
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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
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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
This whitepaper reviews the fundamental changes of Liquidity Risk Management under Basel III. It discusses how institutions can meet the regulatory requirements on liquidity risk management by enhancing their liquidity risk analytics, funds transfer pricing methodologies, liquidity stress testing frameworks, and enterprise risk management platforms.