Securities and exchange commission (sec)
The SEC has charged China Voice CFO and associates with fraud
This three-part series looks at the various factors that firms across the ecosystem of global FX markets - from the buy-side, the sell-side, and the supporting community of technology vendors and service providers - should consider in order to, not just survive, but to thrive in this dynamic and ever-changing environment.
More Securities and exchange commission (sec) articles
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
Former SEC and DoJ spokesman says uncertainty over new tactics is a powerful tool
mUrgent Corporation and three of its executives charged with $10 million fraud
Through a glass darkly
Reaching too far?
The SEC and EU have announced tough measures designed to limit the influence of credit ratings on the investment process. Credit magazine talks to the agencies about their efforts to restore their r...
Will oversee a staff of about 300 responsible for the inspections of US-based broker-dealers
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.