Securities and Exchange Commission (SEC)
Madoff employees charged with creating false documents and trades, and misleading investors
Capital management firms settle with SEC over failing to prevent misuse of non-public information
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
Change of mentality needed to confront rise in insider trading says Baker Platt director
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
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.