Securities and Exchange Commission (SEC)
Courts rein in SEC while FCA probes investors' poor safeguards
Twelve-strong advisory committee drawn from industry, academia and public interest groups
Broker-dealers better prepared than investment advisers
A highly engaging intensive one-week programme designed to meet the demands of the risk professional by bridging the gap between theory and practice in financial risk management. Save your seat now: programme starts March 23rd 2015.
More Securities and Exchange Commission (SEC) articles
Appeals court reins in SEC over insider trading
James Coulson joins Swiss bank after 18 years at SocGen
US bank accused of manipulating client valuation reports to mask profits
What impact does the 'revolving door' have on regulatory independence?
$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
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.