Securities and Exchange Commission (SEC)
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 white paper looks at the heavy impact of regulation on investment managers, the mitigation of outsourcing risk, inefficiencies in corporate actions processing and the growing importance of collateral management.
More Securities and Exchange Commission (SEC) articles
Jeffrey Lowrance charged with using investor funds in a Ponzi scheme to fund start-up newspaper
Lee Farkas, former chair of TBW, has been sentenced to 30 years and ordered to pay back $38.5 million
JPMS rigged at least 93 municipal bond reinvestment transactions in 31 states, SEC says
The US Securities and Exchange Commission has published the results of its latest investigation into the selling of structured products, two days after Finra warned 'greedy' investors to take care
Banks considering a variety of measures to identify proprietary trading and so meet the requirements of the Volcker rule, but none is foolproof, say dealers
Some lawyers claim the CFTC and SEC may not have power to delay enforcement of the Dodd-Frank Act – a grey area that could lead to disputes
Ex-Nasdaq managing director Donald Johnson has been charged by the SEC with insider trading
Rise of the machines
Attorneys criticise the division of regulation and the lack of detail on mixed swaps
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.