Securities and exchange commission (sec)
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"
This panel will discuss ways to allocate resources and minimize potential exposure with a set of analytical tools to assess, simulate and quantify operational risk capital to improve business efficiency and performance across the enterprise.
More Securities and exchange commission (sec) articles
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"
AXA Rosenberg pays $240m for failure to disclose code errors
Profile: Henry Hu
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.