Securities and exchange commission (sec)
Clients are currently able to agree with their clearing members to receive portfolio benefits on initial margin across cleared and uncleared positions. Proposed new rules would prevent such arrangements...
Former Tarp special master doubts limits will change compensation behaviour
Different approaches taken by regulators and risk managers are justified, according the SEC’s Gregg Berman
Insurance Risk and BNY Mellon have conducted a survey to look at how insurance companies are preparing for the new regime and the opportunities and challenges that the changes will bring.
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Costs and benefits of proposals were not properly studied, according to CFTC commissioner Jill Sommers - a failing that could expose its rules to legal challenges, lawyers warn
The US Securities and Exchange Commission has named heads of regulation for derivatives policy, and clearance and settlement
Fine from Finra is latest indicator of UBS's control and supervisory issues
Supervisor will publish its own Volcker rule for consultation – although little progress has been made so far, says CFTC commissioner
This paper discusses a number of diverse considerations that risk managers need to incorporate into their thought processes and recurring procedures if they are to fulfill their role more effectively in the future