Securities and exchange commission (sec)
US bank accused of manipulating client valuation reports to mask profits
What impact does the 'revolving door' have on regulatory independence?
This three-part series looks at the various factors that firms across the ecosystem of global FX markets - from the buy-side, the sell-side, and the supporting community of technology vendors and service providers - should consider in order to, not just survive, but to thrive in this dynamic and ever-changing environment.
More Securities and exchange commission (sec) articles
$12.5 million fine for cross border activities with US clients
Former SEC deputy enforcement head warns of more prosecutions
Data suggests regulators are 'schools' for private sector
Fund managers need to ensure internal controls are up to the mark
Repeated conduct failures lead to increase in average penalty amount
SEC fines HFT firm $1m for using algorithms to sway Nasdaq closes
Advanced data analytics plays major role in SEC risk assessment
Bank admits to system and control failings over £17bn in client assets
Some accounts given more winning trades than others, says senior regulator
Complex investigations and delays in trials over index rigging
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.