Securities and exchange commission (sec)
Lead investigator for SEC defends agency's findings
The US Securities and Exchange Commission (SEC) has appointed Thomas Bayer as chief information officer.
This three-part series looks at the various factors that firms across the ecosystem of global FX markets - from the buy-side, the sell-side, and the supporting community of technology vendors and service providers - should consider in order to, not just survive, but to thrive in this dynamic and ever-changing environment.
More Securities and exchange commission (sec) articles
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
New Jersey adviser charged with multimillion-dollar fraud
Closure of SEC investigation into Moody's demonstration of the regulator's new powers under Dodd-Frank
Markit/DTCC joint venture will register as designated swap execution facility under US financial reform, despite having no plans for trade execution
US banks must consider disclosure rules for CEO and median pay packages
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
Admits is is likely to face enforcement action
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.