Securities and Exchange Commission (SEC)
Banks considering a variety of measures to identify proprietary trading and so meet the requirements of the Volcker rule, but none is foolproof, say dealers
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
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?
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.