Securities and exchange commission (sec)
Restrictions on fees charged for alternative mutual funds will discourage capacity constrained strategies from participating in this new market
The SEC’s Office of Capital Markets Trends finally made good on its promise to write to banks over concerns about exchange-traded notes in February, but some say asking them to tailor disclosure to retail...
Leder previously spent a decade at the SEC in enforcement and international affairs
Risk would like to invite you to join us on 14 April 2014 at 10am EST / 3pm GMT for our next FREE webinar. Joining the panel discussion will be: Moderator: Duncan Wood, Editor, RISK. Athanassios Diplas, Senior Advisor, ISDA. Barry Hadingham, Head of Derivatives and Counterparty Risk, AVIVA INVESTORS. Neil Murphy, Director, Collateral Product Management, IBM RISK ANALYTICS. Click to register.
More Securities and exchange commission (sec) articles
RBS expected to refocus on core businesses and home markets - investment bank could shrink further; new faces at the SEC; Mahmud takes top forex post at Citi; client execution hires at UBS; Aviva Investors replaces Ikram
Despite initial panic, banks now say the US Securities and Exchange Commission’s disclosure requirements have benefited the structured note market, but concerns linger over the impact bank-specific funding practices could have. By Lukas Becker
Central bank efficiency drive follows review by Deloitte, and other Changing Hats stories from the past month
A bad-tempered congressional committee hearing sees US regulators quizzed over Volcker rule costs
Today, regulation is a fact of life for OTC commodity derivatives traders. But in April 1994, it was somewhat novel, as Energy Risk reported at the time
The US Commodity Futures Trading Commission will lose a lawsuit challenging its cross-border guidance, lawyers are predicting – even though one commission insider insists it has done nothing wrong. It’s a prospect that should cheer the industry, but...
In response to industry fears of a collateral crunch, regulators have revised the proposed rules on margining for uncleared over-the-counter (OTC) derivatives.You can find out more by downloading this white paper here.
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