Securities and exchange commission (sec)
Egan-Jones becomes first rating agency to be barred by SEC
Smaller agency blocked from rating ABS and sovereign debt
Swiss bank restructures global operations; BAML names Asia-Pacific commodities co-heads; Hoornwegg departs UBS; Chan takes charge of Philippines at Coutts; Kleinwort Benson adds to private wealth team;...
Last year’s estimates of the likely size of fines paid over the Libor rigging scandal are proving to be far too optimistic – part of a trend of harsher penalties and more aggressive investigation among...
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Changing hats – February 2013
Arrivals and departures in the operational risk and regulation businesses
SEC’s director of enforcement to leave
Fifth senior employee to depart SEC following resignation of SEC's chair
Chief of staff is latest to leave SEC
Didem Nisanci follows stream of departures from US regulator
Top 10 operational risks for 2013
OpRisk looks again at the primary concerns for operational risk managers in the New Year
SEC appoints chief information security officer
Todd Scharf made chief information security officer at the SEC
Schapiro resignation not linked to lawsuit, SEC says
SEC chair Mary Schapiro steps down a week after former inspector-general files $20 million lawsuit against the agency
SEC management under fire again in $20m lawsuit
Former chief investigator sues US regulator for harassment and unfair dismissal
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Using market and credit risk analytics to strengthen performance
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How financial services need to consider their IT infrastructure
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