Securities and exchange commission (sec)
OR&R speaks to lawyers on both sides of the Atlantic to divine the implications of the largest insider-trading conviction of all time
Regulators seek $1.4bn and $308m respectively, but $117m CFTC “user fee” apparently dropped
This three-part series looks at the various factors that firms across the ecosystem of global FX markets - from the buy-side, the sell-side, and the supporting community of technology vendors and service providers - should consider in order to, not just survive, but to thrive in this dynamic and ever-changing environment.
More Securities and exchange commission (sec) articles
Collaborating for change
All MSPs and swap dealers to hold minimum $20 million under CFTC proposals
Agencies largely aligned, but conflicts remain after 10-month negotiation
Switch of assets to trading book and subsequent sales meant to limit Basel III capital impact, says Citi's CFO
SEC chair says Dodd-Frank Act should be adapted to fit markets
Three former brokerage executives at Tampa-based GunnAllen Financial have been charged with failing to protect confidential information about their customers. The US Securities and Exchange Commission...
SEC says actions of the two men "make it clear beyond any doubt they were involved in an illegal scheme"
SEC accuses Indian computer company that serves more than a third of the Fortune 500 companies of overstating its income by $1 billion
US SEC claims Wells Fargo Securities, formerly Wachovia Capital Markets, violated securities laws when selling CDOs tied to the ailing housing market
Hedge funds in the US have until July 21 to register with the SEC but Citigroup says over a third of the larger funds have not yet done so.
New York SEC director says two managers “violated the most fundamental duties of an investment adviser"
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.