Securities and exchange commission (sec)
The past year has seen the exchange-traded funds industry plagued by discussions about the relative complexity of synthetic and physical ETFs. Will the newly published European Securities and Markets Authority...
UBSGAM settles SEC mispricing charges for $300,000
Assistant director Fisher promoted to role
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
Republicans dismiss prop trading ban as overly complex, unworkable and unenforceable
S&P Indices has reported dismal return figures for investors in 2011: an overall $3 trillion loss and a 10.07% decrease in global markets, according to the S&P Global Broad Market Index (BMI). Excluding the US, which shows only a minor decline of 0.82%,...
Industry experts divided over Volcker deadline of July 2012
Securities fraud charges brought against former top executives seen by one legal expert as attempt by regulator to improve image
Eric Pan to oversee international regulatory policy at the agency
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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