Securities and exchange commission (sec)
The latest movers and shakers in operational risk
NY lawyer pleads guilty in Galleon case
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
US SEC goes after Kenneth Starr’s lawyer
Bank of America settles for $137 million over municipal bond auction fixes
Behind the facade
New York attorney-general Andrew Cuomo sues accountants for signing off bank's plan to hide leverage
SEC considers ‘trading bands' to prevent a repeat of the flash crash
CFTC commissioners are concerned about the breadth of the Dodd-Frank swap dealer definition; staff call for electricity sector comments
Madoff employees charged with creating false documents and trades, and misleading investors
Capital management firms settle with SEC over failing to prevent misuse of non-public information
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.