Securities and exchange commission (sec)
Structured Products Americas: Mis-selling a bigger issue than regulation...
A panel of regulators, trade association leaders and lawyers opened this year's Structured Products Americas conference with opinions on how best to regulate the market. Delegates also participated in...
CME chief accuses regulator of overreaching, as line-up of industry figures attacks Dodd-Frank rules
Lona Nallengara replaces Didem Nisanci, who left in December 2012
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How banks needs to consider their IT infrastructure
Banks are increasingly using their IT infrastructure to increase their competitive advantage. Learn how this can work in practice.
More Securities and exchange commission (sec) articles
Europe should consult on Emir equivalency – SEC official
The EC and Esma should consult on the process for determining equivalency with Emir, says Eric Pan of the SEC
People: Credit Suisse names Brian Chan head of equity derivatives sales...
Chan replaces Min Park at the Swiss bank; Mary Jo White takes the helm at the SEC; Apra names new chair; Source boosts institutional client coverage; Lyxor hires senior strategist
Data fragmentation hampers oversight
The G-20 had hoped the reporting of OTC derivatives trades would give regulators an opportunity to spot the build-up of systemic risk. But domestic reporting requirements, a lack of standard data formats and local privacy laws are preventing supervisors...
Changing hats – June 2013
Arrivals and departures in the operational risk, compliance and regulation businesses
Regulatory web tightening for structured products, Iosco report shows
A consultation report by the international consortium of securities regulators shows more, not less, regulation is the likely endgame for the world's markets. Yakob Peterseil analyses the trend towards interventionism
SEC’s Amy Starr: US banks must comply with estimated value guidance...
Banks that do not promptly disclose the estimated value of their structured notes risk additional scrutiny, says regulator
SEC announces departure of senior enforcement official
David Bergers to leave the SEC this month
Using market and credit risk analytics to strengthen performance
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This handy guide reviews the various steps banks are taking to improve their risk management techniques, looking at the benefits and pitfalls of each one.
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Using market and credit risk analytics to strengthen performance
This white paper reviews the various steps banks are taking to improve their risk management techniques.
How financial services need to consider their IT infrastructure
The global credit crisis exposed the weaknesses inherent in the risk management and IT infrastructures employed by banks.
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