Securities and exchange commission (sec)
The US regulator's latest letter on structured products adds a new twist to the debate, calling for pricing disclosure
A senior Finra official argues that structured product complexity does not always mean greater risk
The contrast between the US authorities' treatment of corruption at Wal-Mart and Morgan Stanley imply that regulators are focussing on compliance procedures
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.
More Securities and exchange commission (sec) articles
A bipartisan attempt to clarify the scope of the Dodd-Frank Act – and limit the US Commodity Futures Trading Commission’s proposals on swap execution facilities – had been making rapid progress, raising hopes that trading platforms would have some...
Credit Suisse’s recent move to suspend issuance of a popular exchange-traded note (ETN) caused the value of the note to whipsaw, and the bank is being asked pointed questions by regulators. Other dealers accuse the bank of mishandling the situation...
This was the year that Citi finally broadened its distribution model to account for the loss of primacy with once captive distributor Morgan Stanley-Smith Barney, capitalised on the merger with Citi Private Bank, supercharged its market-linked certificates...
The US SEC is highly sceptical of the structured products market and higher regulatory standards are on their way, says lawyer
David Stuff, director in UK sales leaves RBS in redundancy round; Nomura names new head of forex structuring; Morgan Stanley says goodbye to head of structured product marketing; Steven Phan joins Standard Chartered as head of structured equity in Hong...
Comparing the approach to whistleblowing taken in the US and the UK, it seems American informants have more incentive, particularly in monetary terms, to come forward. Should the UK follow the US lead?
Technology can provide a competitive advantage in banking. How it is applied by Tier 1 and Tier 2 institutions, to the benefit for their risk management systems, is discussed.
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