Securities and exchange commission (sec)
Law firm of the year: Davis Polk & Wardwell
Davis Polk & Wardwell's transactional work during 2012 - when it advised on 2,100 offerings, worth $32 billion, or an average of 40 per week - would have been impressive in any year. But as the firm's...
Narrower US person definition and substituted compliance proposal win praise from market participants
Complex retail structured products are the subject of the latest consultation report from the international body of securities regulators
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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
CFTC commissioner seeks more time for penalty cases
Bart Chilton to ask Congress for extension of current five-year statute of limitations
Canellos and Ceresney named co-directors of SEC enforcement division
Pair replace previous director Robert Khuzami
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...
Using market and credit risk analytics to strengthen performance
How are banks improving their risk management techniques?
This handy guide reviews the various steps banks are taking to improve their risk management techniques, looking at the benefits and pitfalls of each one.
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Using market and credit risk analytics to strengthen performance
This white paper reviews the various steps banks are taking to improve their risk management techniques.
How financial services need to consider their IT infrastructure
The global credit crisis exposed the weaknesses inherent in the risk management and IT infrastructures employed by banks.
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