Securities and exchange commission (sec)
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
This panel will discuss ways to allocate resources and minimize potential exposure with a set of analytical tools to assess, simulate and quantify operational risk capital to improve business efficiency and performance across the enterprise.
More Securities and exchange commission (sec) articles
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
Agencies largely aligned, but conflicts remain after 10-month negotiation
Switch of assets to trading book and subsequent sales meant to limit Basel III capital impact, says Citi's CFO
SEC chair says Dodd-Frank Act should be adapted to fit markets
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.