Securities and exchange commission (sec)
Iosco issues regulatory “toolkit” for retail structured products
Complex retail structured products are the subject of the latest consultation report from the international body of securities regulators
Bart Chilton to ask Congress for extension of current five-year statute of limitations
Pair replace previous director Robert Khuzami
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How banks needs to consider their IT infrastructure
Banks are increasingly using their IT infrastructure to increase their competitive advantage. Learn how this can work in practice.
More Securities and exchange commission (sec) articles
US banks wary of disclosing fair value for structured notes
Correspondence shows several large Wall Street banks expressed reservations to the SEC about enhancing disclosure around their structured products
Actively seeking alpha with AdvisorShares
AdvisorShares may be small, but it has an outsize footprint in the tiny yet growing active exchange-traded funds market. Yakob Peterseil talks to Noah Hamman, founder and chief executive, about bringing active management to ETFs
SEC forces Ice into single-name CDS clearing U-turn
Clearing house has been told its own rules prevent it from shelving buy-side clearing for single-name CDS contracts
Hedge fund investors divided on SAC probe
SAC hopes to put an insider trading probe by the US Securities and Exchange Commission behind it after agreeing to pay a record fine, but hurdles still remain
Lookback: SEC disputes Iosco complex definition
In a speech at the SEC Speaks conference on February 22, commissioner Daniel Gallagher alluded to a recent regulatory spat between the Securities and Exchange Commission (SEC) and the International Organization of Securities Commissions (Iosco) over a...
SAC Capital’s record fine is warning to hedge funds
Hedge funds to review procedures and systems following SAC's $614 million fine
Ice blames SEC as it drops single-name CDS clearing plans
Firms that trade index and single-name CDSs will see margin requirements increase
Using market and credit risk analytics to strengthen performance
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Using market and credit risk analytics to strengthen performance
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