Securities and Exchange Commission (SEC)
US SEC claims Wells Fargo Securities, formerly Wachovia Capital Markets, violated securities laws when selling CDOs tied to the ailing housing market
More Securities and Exchange Commission (SEC) articles
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
Goldman Sachs report airs dirty risk laundry
NY lawyer pleads guilty in Galleon case
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.