Securities and exchange commission (sec)
The passing of the Dodd-Frank Act into US law signifies profound changes for banks and regulators. But how they should prepare now for the new legislation is still far from certain
This webinar on September 17th looks at the challenges of GRC, key trends, motives for improvement, future investments, and obstacles that banks and other financial institutions face in trying to improve and integrate their risk management strategy
More Securities and exchange commission (sec) articles
US regulators are hiring more staff in preparation for Dodd-Frank changes
Now that the dust has settled after the extraordinary May 6 ‘Flash Crash’, Victor Anderson catches up with FTEN’s Valerie Bannert-Thurner to discuss how technology can help guard against futur...
US bank receives the largest fine the SEC has ever imposed on a financial entity
Financial reform legislation passes in the US Senate, as focus turns to the complex issue of implementation
Goldman pays $550 million to settle charges of misleading customers on Abacus CDO
Shell Gas Direct’s chief tells Energy Risk that major end-users’ credit worthiness will be one of four major challenges for industrial and commercial users in the next few years
ETFs were particularly badly hit during the flash crash that hit the US stock market on 6 May. This occured due to withdrawal of liquidity from the market and the industry is now working to prevent ...
Unintended consequences are almost inevitable when weighty new regulations come into force, even if those rules are enacted with the best of intentions and seem sensible. The risk increases when regulators...
Despite a last-minute hitch, the final text of ambitious financial regulatory reform legislation was agreed last month, which would hand supervisors sweeping new powers over financial institutions. ...
With the Commodity Futures Trading Commission poised to implement position limits in energy markets, how will a dramatic expansion of the regulator’s power affect those plans? By John Ferry
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.