Securities and exchange commission (sec)
New York SEC director says two managers “violated the most fundamental duties of an investment adviser"
This webinar on September 17th looks at the challenges of GRC, key trends, motives for improvement, future investments, and obstacles that banks and other financial institutions face in trying to improve and integrate their risk management strategy
More Securities and exchange commission (sec) articles
AXA Rosenberg pays $240m for failure to disclose code errors
Profile: Henry Hu
NY lawyer pleads guilty in Galleon case
Goldman Sachs report airs dirty risk laundry
Behind the facade
US SEC goes after Kenneth Starr’s lawyer
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.