Securities and exchange commission (sec)
Arrivals and departures in the operational risk, compliance and regulation businesses
Supervisors respond to buy-side fears of multiple regulatory masters
Banks providing the estimated value of structured notes in accordance with SEC rules are facing questions from investors about the level of their estimates
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.
More Securities and exchange commission (sec) articles
Indian reticence over Emir steps up pressure on EC equivalency regime
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 a live audio Q&A with the SEC's Amy Starr, who shared...
CME chief accuses regulator of overreaching, as line-up of industry figures attacks Dodd-Frank rules
The EC and Esma should consult on the process for determining equivalency with Emir, says Eric Pan of the SEC
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
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...
Technology can provide a competitive advantage in banking. How it is applied by Tier 1 and Tier 2 institutions, to the benefit for their risk management systems, is discussed.
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