Securities and Exchange Commission (SEC)
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
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
Regulators seek $1.4bn and $308m respectively, but $117m CFTC “user fee” apparently dropped
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.