Securities
UBS Securities fined $8 million for inaccurate recording practices
Published online only
Source: Operational Risk & Regulation
UBS Securities has been fined $8 million by the SEC for inaccurately recording 'locates' information
Original headline:
Source: Structured Products
Structured Products magazine editorial staff review the month from a different perspective
Worried about regulation?
Read in-depth analysis of top regulatory issues today!
Find the information you need in articles from across Risk.net on Basel III, the Dodd-Frank Act, and Solvency II.
More Securities articles
Iosco draws systemic risk roadmap for securities regulators
Published online only
Source: Risk magazine
International Organisation of Securities Commissions sets out ways in which securities authorities can help control systemic risk
Charles Schwab companies pay $118 million to settle SEC charges, case...
Original headline:
Source: Operational Risk & Regulation
Charles Schwab accused of misleading statements on risk of fund that lost $11 billion in value amid credit crisis
Hong Kong structured product providers warm to ‘cooling off’ period...
Published online only
Source: Asia Risk
New SFC rules will also force dealers to offer secondary pricing
ETF role in Dow 'flash crash' under scrutiny
Published online only
Source: Structured Products
The role of ETFs in the US market “flash crash” on 6 May is under scrutiny following a preliminary report suggesting ETFs and index futures were linked to the event.
Six Swiss Exchange CEO: Markets need 'single set of eyes'
Published online only
Source: Operational Risk & Regulation
More data sharing needed to empower local regulators, says Six’s Katz
Cesr to step up securities and derivatives scrutiny
Published online only
Source: Operational Risk & Regulation
European regulators act as markets show “exceptional volatility”
SEC charges new century execs in subprime fraud clampdown
Published online only
Source: Operational Risk & Regulation
The Securities and Exchange Commission (SEC) has charged three former executives at subprime lender New Century with securities fraud – including the mortgage firm’s founder Brad Morrice. The US regulator says it is “devoting significant resources”...
Forgot your Risk.net password?
Renew your password now!
Make sure you don't miss a day of Risk.net's essential content. Refresh your password today online!
Related conferences
-
Risk & Return Brasil
Brazil, 30th May 2012
-
Risk & Return Brazil
Brazil, 30th May 2012
-
CRO Forum Asia 2012
Singapore, 30th - 31st May 2012
-
FX Week China 2012 - CN
China, 12th Jun 2012
-
Risk & Return Canada
Canada, 20th Jun 2012
Related training
-
Nexus-Risk Training
USA, 26th Oct 2012
-
Operational Risk Management for Energy Companies
UK, 29th - 30th May 2012
-
CVA & DVA risk and return strategies
UK, 18th Jun 2012
-
Central Clearing in Canada: 2012 and Beyond
Canada, 22nd Jun 2012
-
CVA & DVA risk and return strategies
USA, 22nd Jun 2012
Updating your subscription status 
Email alerts
Weekly poll
Technology white papers
Related Jobs
