Securities and exchange commission (sec)
SEC/CFTC Capital Markets Working Group could be "just another talking shop"
Expert predictions of delayed start date proven correct
The US Commodity Futures Trading Commission (CFTC) is approaching a key point in the process of writing rules to implement the Dodd-Frank financial reform bill: its final definition of the terms 'swap...
Insurance Risk and BNY Mellon have conducted a survey to look at how insurance companies are preparing for the new regime and the opportunities and challenges that the changes will bring.
More Securities and exchange commission (sec) articles
Douglas Whitman illegally profited from tips on Google and Polycom, SEC says
Margin efficiency is going to be key to both listed and OTC derivatives markets, but the equity market has been lagging - a result of regulatory opacity. Michael Watt talks to Mike McClain, executive vice-president and head of business development and...
The past year has seen the exchange-traded funds industry plagued by discussions about the relative complexity of synthetic and physical ETFs. Will the newly published European Securities and Markets Authority guidelines on the products put the matter...
UBSGAM settles SEC mispricing charges for $300,000
Assistant director Fisher promoted to role
Republicans dismiss prop trading ban as overly complex, unworkable and unenforceable
This paper discusses a number of diverse considerations that risk managers need to incorporate into their thought processes and recurring procedures if they are to fulfill their role more effectively in the future