Securities and exchange commission (sec)
Paul Leder rejoins after 14-year stint in private practice
RBS expected to refocus on core businesses and home markets - investment bank could shrink further; new faces at the SEC; Mahmud takes top forex post at Citi; client execution hires at UBS; Aviva In...
More Securities and exchange commission (sec) articles
Open to disclosure
Changing hats – March 2014
A bad-tempered congressional committee hearing sees US regulators quizzed over Volcker rule costs
Today, regulation is a fact of life for OTC commodity derivatives traders. But in April 1994, it was somewhat novel, as Energy Risk reported at the time
A rule by any other name
Protection for whistleblowers not clear cut
A year of huge fines and settlements has thrown new light on the importance of controls and conduct risk
ABC of SEFs
After criticising the use of the term “principal protected” in structured notes, the SEC turns to ETFs and mutual funds that promise protection from loss in their names
A group of PhDs churned through 18,000 structured products issued by 13 leading banks, including Barclays, Goldman Sachs and UBS, to find out what investors in the products earned. In November, they...
Recent calls for kill switches may be misguided
SEC official warns compliance teams at quant funds lack qualifications and knowledge to effectively monitor trading strategies
In response to industry fears of a collateral crunch, regulators have revised the proposed rules on margining for uncleared over-the-counter (OTC) derivatives.You can find out more by downloading this white paper here.