Securities and exchange commission (sec)
Legal experts see potential effects of Rakoff's SEC-Citi ruling for major banks' settlements
An effort to assess systemic risk on the buy side is helpful, but regulators need to remember that the root of the problem is still the sell side, writes Peter Laurens
"Aberrational performance" detected in four funds
In this paper (in English and German), Genscape has analysed Combined Heat and Power or Central Heat and Power (CHP)production in the German market, the challenges it raises for market participants, and the key steps required to address the fundamental lack of transparency in CHP plant production.
More Securities and exchange commission (sec) articles
The number of financial crime cases being pursued by regulators around the globe is increasing, and the focus is switching to the culpability of individuals rather than firms
Manhattan federal judge refuses to approve SEC settlement relating to Citi's negligence over 2007 CDO
Foreign tips about financial crime unexpectedly common, ex-regulator says
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
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.