Securities and Exchange Commission (SEC)
The latest movers and shakers in operational risk
New York SEC director says two managers “violated the most fundamental duties of an investment adviser"
The online Certificate in Quantitative Finance program provides risk professionals with quant finance tools applicable to their roles, and now offers risk management electives. Download the CQF brochure.
More Securities and Exchange Commission (SEC) articles
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
US SEC goes after Kenneth Starr’s lawyer
Bank of America settles for $137 million over municipal bond auction fixes
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.