'Fairly threatening' letters caused consternation among derivatives end-users
Interventionism is the name of the game in post-crisis financial regulation
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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CFTC rule change forces firms to retain piles of pre-trade communications
Financial policing takes on a touch of Silicon Valley glamour
FCA aims to act early to prevent misconduct
Aggressive pursuit of wrongdoing harms market efficiency and competition
Former SEC deputy enforcement head warns of more prosecutions
Repeated conduct failures lead to increase in average penalty amount
Small derivatives hedgers bewildered by emails from regulator
Advanced data analytics plays major role in SEC risk assessment
US regulator will focus on technology, investor information and settlements
Big data and industry experts help unit bring enforcement actions
Dodd-Frank Act to boost CFTC war on market abuse, says Meister
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.