Securities and exchange commission (sec)
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,...
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
The US SEC is highly sceptical of the structured products market and higher regulatory standards are on their way, says lawyer
David Stuff, director in UK sales leaves RBS in redundancy round; Nomura names new head of forex structuring; Morgan Stanley says goodbye to head of structured product marketing; Steven Phan joins Standard Chartered as head of structured equity in Hong...
Comparing the approach to whistleblowing taken in the US and the UK, it seems American informants have more incentive, particularly in monetary terms, to come forward. Should the UK follow the US lead?
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
UK, 18th Dec 2013
UK, 12th Feb 2014
UK, 13th Feb 2014
UK, 19th - 20th Feb 2014
Germany, 25th Feb 2014
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