Securities and exchange commission (sec)
Range of new disclosures includes business practices that may present significant conflicts of interest
Change of mentality needed to confront rise in insider trading says Baker Platt director
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
Risk managers need to look closely at compensation, declares former US Treasury adviser
Joseph Contorinis used inside information about mergers and acquisitions to execute trades
The physically backed commodity ETF market is set to grow with the inclusion of Copper as JP Morgan and Blackrock file with the SEC
Lead investigator for SEC defends agency's findings
The US Securities and Exchange Commission (SEC) has appointed Thomas Bayer as chief information officer.
US market participants say Dodd-Frank reforms should be phased in, foresee uncertainty and potential market disruption post-implementation
US SEC and Citigroup defend $75 million subprime settlement
UK FSA hits Goldman Sachs with £17.5 million reporting fine
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.