Securities and Exchange Commission (SEC)
AXA Rosenberg pays $240m for failure to disclose code errors
This white paper looks at the heavy impact of regulation on investment managers, the mitigation of outsourcing risk, inefficiencies in corporate actions processing and the growing importance of collateral management.
More Securities and Exchange Commission (SEC) articles
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
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
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.