Securities and exchange commission (sec)
Attempts at CDS portfolio margining in regulatory limbo
Dealers worry about the impact on liquidity unless single-name and index trades can be margined together
Four months after the furore surrounding the Tvix exchange-traded note, Finra has responded by issuing an investor alert warning of the risks involved in the products
SEC chief economist says consolidated audit trail rule is strong enough, despite concerns from Democrats
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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
Quant Congress USA: SEC using models to look for the next Madoff
A decision by the SEC to invest in quantitative research is paying off, with recent enforcements in the hedge fund space a result of warnings generated by models, says SEC chief economist
CFTC-SEC swap ruling starts Dodd-Frank compliance race
Publication of swap rule will mark start of 60-day countdown to compliance with registration, reporting rules. Industry will find it "quite challenging" warns CFTC's O'Malia
Cost-benefit defeat weighing on "gun-shy" SEC
The US Securities and Exchange Commission has finalised only a fifth of its Dodd-Frank Act rule-makings, two years after the law was passed. Cost-benefit analysis concerns are slowing the process down – but the result is better regulation, lawyers say....
Five more years
With the 2012 OpRisk Europe conference just over, it’s interesting – and informative – to look back and compare it to last year’s event. We did enough violence in compressing two days and 61 speakers into a single 2,500 word article covering OpRisk...
UBS tops issuance with reverse convertibles linked to financials and...
Financials, energy and natural resource stocks form the basis of most of the latest raft of reverse convertibles from UBS
UBS files riskiest products in latest SEC registrations
Reverse convertibles from UBS linked to Chesapeake Energy shares have the highest riskmap scores in the latest filings with the Securities and Exchange Commission
Kroeker leaves SEC for private sector
US regulator's chief accountant will step down next month
Using market and credit risk analytics to strengthen performance
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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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