Securities and exchange commission (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
Former chief investigator sues US regulator for harassment and unfair dismissal
Chief executive of collapsed broker at fault for risky strategy that destroyed company, House subcommittee says
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More Securities and exchange commission (sec) articles
CFTC still facing tough to-do list
Regulator has finalised 39 rules but 14 remain at proposal stage - including six that have been outstanding for more than 500 days
Dyson appointed deputy chief information officer at SEC
Dyson’s brief involves updating IT systems
OTC Derivatives Clearing Summit: Nearly a third of uncleared CDS are...
SEC study finds large portion of clearing-eligible CDS still trading bilaterally
Knight Capital losses spur focus on algo risk management
Losses suffered by Knight Capital as the result of a rogue algorithm have again focused attention on the risks involved in automated trading. With algos expected to be used more widely in over-the-counter markets in the near future, how are market participants...
Fingerprint, aggregation fears hit swap dealer countdown
October 12 is the deadline for institutions active in US over-the-counter markets to register as swap dealers. But tough aggregation rules – and a requirement to fingerprint top executives – are making it difficult for non-US dealers to comply. Peter...
Anonymity for whistleblowers ‘may undermine programme’
Protecting whistleblowers is essential, says Sean McKessy, chief of the SEC's whistleblower programme
Publication of swap definitions triggers countdown to compliance deadline...
The publication of swap definitions earlier this week initiates a 60-day countdown for compliance to key parts of the Dodd-Frank Act
Using market and credit risk analytics to strengthen performance
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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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