Securities and Exchange Commission (SEC)
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
The online Certificate in Quantitative Finance program provides risk professionals with quant finance tools applicable to their roles, and now offers risk management electives. Download the CQF brochure.
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...
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.