National Association of Securities Dealers (NASD)
SEC chair Mary Schapiro steps down a week after former inspector-general files $20 million lawsuit against the agency
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.
More National Association of Securities Dealers (NASD) articles
The Federal Reserve Bank of New York has been shepherding global efforts to improve the over-the-counter derivatives market since 2005 and continues to push dealers to improve in areas such as trans...
All US securities firms will be required to designate a chief compliance officer (CCO) who will, with the chief executive officer (CEO), certify annually that the firm is working toward compliance w...
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.