Securities and exchange commission (sec)
Attorneys criticise the division of regulation and the lack of detail on mixed swaps
In this white paper, Gordon Russell, Global Head of Risk at Broadridge Investment Management Solutions argues that the chances of survival in this new environment will be greater for funds that implement solutions to efficiently and cost-effectively manage data and risk.
More Securities and exchange commission (sec) articles
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
Regulators seek $1.4bn and $308m respectively, but $117m CFTC “user fee” apparently dropped
Collaborating for change
All MSPs and swap dealers to hold minimum $20 million under CFTC proposals
In response to industry fears of a collateral crunch, regulators have revised the proposed rules on margining for uncleared over-the-counter (OTC) derivatives.You can find out more by downloading this white paper here.