Securities and exchange commission (sec)
Bank shares continue to form the basis of many structured product filings with the US Securities and Exchange Commission
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.
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New York Fed will "stand down" as the CFTC and SEC "stand up", says New York Fed president
Of the 91 structured products filed last week with the US Securities and Exchange Commission, more than 40 were reverse convertibles and nine were digitals. Financials and tourism were the most popular underlyings
The US regulator's latest letter on structured products adds a new twist to the debate, calling for pricing disclosure
A senior Finra official argues that structured product complexity does not always mean greater risk
The contrast between the US authorities' treatment of corruption at Wal-Mart and Morgan Stanley imply that regulators are focussing on compliance procedures
A bipartisan attempt to clarify the scope of the Dodd-Frank Act – and limit the US Commodity Futures Trading Commission’s proposals on swap execution facilities – had been making rapid progress, raising hopes that trading platforms would have some...
Credit Suisse’s recent move to suspend issuance of a popular exchange-traded note (ETN) caused the value of the note to whipsaw, and the bank is being asked pointed questions by regulators. Other dealers accuse the bank of mishandling the situation...
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
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