Securities and exchange commission (sec)
UBS and Credit Suisse have both filed products based on the performance of Apple shares with the SEC. Half of the latest products registered with the regulator are leveraged return notes
Thirty-five new structured products were listed with the US SEC yesterday, led by a glut of supply from Bank of Montreal
Dealers will be able to cross-margin interest rate swaps, and eurodollar and Treasury futures, from May
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
Thirty-one structured products were registered with the US Securities and Exchange Commission on March 9, with UBS providing nine autocallables and reverse convertibles
Fifty-two structured products were registered with the US Securities and Exchange Commission on March 7, maintaining the boost in issuance that began the previous day
SEC/CFTC Capital Markets Working Group could be "just another talking shop"
Expert predictions of delayed start date proven correct
The US Commodity Futures Trading Commission (CFTC) is approaching a key point in the process of writing rules to implement the Dodd-Frank financial reform bill: its final definition of the terms 'swap dealer' and 'major swap participant'. Energy firms...
Douglas Whitman illegally profited from tips on Google and Polycom, SEC says
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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