Securities and exchange commission (sec)
Banking regulator talking to Congress about altering the Dodd-Frank Act to allow a limited use of credit ratings
Two hedge fund managers have been charged by the SEC with facilitating a multi-billion dollar Ponzi scheme
UBS Securities has been fined $8 million by the SEC for inaccurately recording 'locates' information
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
JC Flowers head says reliance on short-term funding is a weakness of whole securities industry – not just MF Global. He adds a worsening eurozone crisis could lead to investment opportunities in troubled banks
Final US Commodity Futures Trading Commission rules on swap execution facilities (Sefs) are to be published in early 2012, a full year after the original proposals. As 2011 draws to a close, would-be Sefs complain the continuing uncertainty about key...
Clients are currently able to agree with their clearing members to receive portfolio benefits on initial margin across cleared and uncleared positions. Proposed new rules would prevent such arrangements with respect to cleared swaps. Mariam Rafi of Citi...
Former Tarp special master doubts limits will change compensation behaviour
Different approaches taken by regulators and risk managers are justified, according the SEC’s Gregg Berman
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
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