Securities and exchange commission (sec)
SAC Capital’s record fine is warning to hedge funds
Hedge funds to review procedures and systems following SAC's $614 million fine
Firms that trade index and single-name CDSs will see margin requirements increase
Despite the lifting of a moratorium by the Securities and Exchange Commission last December, active ETFs have more hurdles to overcome before they're ready for the mainstream. Skittishness from the US...
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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
SEC's last-minute CDS margin fix sparks buy-side anger
Stop-gap margin solution would force most firms to post twice as much collateral as CCP members
SEC says crucial information being withheld from investors in structured...
In its latest letter, the SEC orders banks to highlight the difference between fair market value and issue price to help investors see what their investment is worth
SEC scrutiny blamed for stifling active ETF market
Despite lifting a moratorium on reviewing actively managed ETFs that use derivatives, the US Securities and Exchange Commission still imposes long waiting periods on product approvals
Changing hats – March 2013
Arrivals and departures in the operational risk and regulation businesses
SEC names Hoecker inspector general
Carl Hoecker appointed permanent successor to David Kotz
SEC closes in on sweep guidance for structured notes estimated value...
The SEC will soon send issuers final guidance on structured note valuation disclosure, following a sweep letter sent last April
Obama appoints White as head of SEC
Mary Jo White to replace Elisse Walter, following Schapiro’s resignation in December 2012
Using market and credit risk analytics to strengthen performance
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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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