Ring-fenced research pots required to cut out inducements
‘Blast emails’ to retail investors a major offender under Rule 2210
This white paper looks at the heavy impact of regulation on investment managers, the mitigation of outsourcing risk, inefficiencies in corporate actions processing and the growing importance of collateral management.
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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
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.