Securities and exchange commission (sec)
Buy-side firms angry about continuing margin disparity and uncertainty
After criticising the use of the term “principal protected” in structured notes, the SEC turns to ETFs and mutual funds that promise protection from loss in their names
A group of PhDs churned through 18,000 structured products issued by 13 leading banks, including Barclays, Goldman Sachs and UBS, to find out what investors in the products earned. In November, they published...
Insurance Risk and BNY Mellon have conducted a survey to look at how insurance companies are preparing for the new regime and the opportunities and challenges that the changes will bring.
More Securities and exchange commission (sec) articles
Recent calls for kill switches may be misguided
SEC official warns compliance teams at quant funds lack qualifications and knowledge to effectively monitor trading strategies
The US Federal Reserve has warned that leveraged exchange-traded funds could pose a systemic risk through their rebalancing activities, but many exchange-traded fund providers think these claims are overblown
The Securities and Exchange Commission finds itself in conflict with fellow regulators the Commodity Futures Trading Commission and the Financial Industry Regulatory Authority, while a recent pronouncement on benchmarks appears to contradict a global...
Uniform fiduciary standard may raise the bar for investment advisers and broker-dealers
This paper discusses a number of diverse considerations that risk managers need to incorporate into their thought processes and recurring procedures if they are to fulfill their role more effectively in the future
USA, 9th Dec 2013
USA, 10th Dec 2013
UK, 18th Dec 2013
UK, 12th Feb 2014
UK, 13th Feb 2014
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