Securities and Exchange Commission (SEC)
Government watchdog CREW has sued the SEC and its chair Mary Schapiro for purging documents related to probes of suspected wrongdoing at financial institutions
A report released by the US SEC reveals S&P, Moody's and Fitch all still have significant failings in their operations
More Securities and Exchange Commission (SEC) articles
RBC Capital is charged with misconduct in the sale of CDOs by the SEC
The SEC may charge Standard & Poor's with breaking federal security laws in its rating of a 2007 CDO.
SEC files subpoena enforcement action against Deloitte
CFTC commissioner says agency received a wake-up call when one SEC rule was booted out by the US appeals court
The fixed-income flash crash
$52 million fraud misused investor capital, SEC claims
Court favours insider-trading suspicions in Arch Chemicals case
Triggering alarm bells
The appearance of the Sef Clarification Act last month, coupled with a changing mood in Washington, DC, has given rise to a more positive outlook among e-commerce experts
Reforms to $1.59 trillion tri-party repo market are set to miss industry deadlines, and could now spill into 2012
Crop of the props
This whitepaper reviews the fundamental changes of Liquidity Risk Management under Basel III. It discusses how institutions can meet the regulatory requirements on liquidity risk management by enhancing their liquidity risk analytics, funds transfer pricing methodologies, liquidity stress testing frameworks, and enterprise risk management platforms.