Securities
Cesr to step up securities and derivatives scrutiny
European regulators act as markets show “exceptional volatility”
The Securities and Exchange Commission (SEC) has charged three former executives at subprime lender New Century with securities fraud – including the mortgage firm’s founder Brad Morrice. The US regulator...
The Securities and Exchange Commission (SEC) has charged three former executives at subprime lender New Century with securities fraud – including the mortgage firm’s founder Brad Morrice. The US regulator...
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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 articles
FDIC considers securitisation of failed bank assets
The Federal Deposit Insurance Corporation is considering securitising some of the failed bank assets in its receivership, according to a policy advisor at the agency. “The FDIC is looking at all options to maximise the value of the assets in receiverships,...
SEC's Schapiro wants better, more harmonised advice for investors
Mary Schapiro, chairman of the Securities and Exchange Commission (SEC) has proposed setting new harmonised standards for US securities professionals. “We need to have a strong fiduciary standard for all securities professionals,” she said in a speech...
UK and FATF issue warnings over money-laundering risks
LONDON – The UK Treasury has warned UK firms about the risks posed by unsatisfactory money laundering controls in Iran, Pakistan, Uzbekistan, Turkmenistan, Azerbaijan, and São Tomé and Príncipe. Separately, the Financial Action Task Force (FATF)...
Rajaratnam arrest triggers US insider-trading crackdown
US authorities are reportedly preparing more insider-trading charges against suspects linked to arrested hedge fund manager Raj Rajaratnam. Lawyers and more hedge fund managers are understood to be among the next round of targets of the two-year market...
SEC approves exchange rules to prevent ‘clearly erroneous' trades
The Securities and Exchange Commission (SEC) on Monday announced its approval of new rules covering mistaken breaking stock trades on US exchanges. The US regulator says the new standards are focused on eliminating trades that deviate so much from market...
US prosecutors prepare to place AIG exec before grand jury
NEW YORK – Federal prosecutors are poised to impanel a grand jury to consider indicting the former head of government-rescued insurer AIG’s financial products unit. Joseph Cassano’s possible indictment for securities fraud would represent the culmination...
Ernst & Young partner in insider-trading love triangle
NEW YORK - A former Ernst & Young partner faces a possible 20-year jail sentence following an insider-trading love triangle based on tantalising guessing games. Lawyer James Gansman, 48, was convicted on six counts of securities fraud for regularly...
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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