Securities and Exchange Commission (SEC)
OTC shake-up likely as regulators mull centralised clearing
US legislators are pressing for reforms that will lead to a big shake-up in how over-the-counter derivatives are bought and sold. The question is how this will affect the structured notes market. John Ferry reports
US SEC had suspected Stanford Ponzi scheme since 1997
A report from the US Securities and Exchange Commission (SEC) says the Stanford fraud was ignored for a decade because it was too big and too complex.
Goldman charged over CDO role
The US Securities and Exchange Commission filed a lawsuit against Goldman Sachs in April, alleging the firm misled clients. Some observers suggest the action may not be successful, but criticise Goldman’s behaviour. By Mark Pengelly and Duncan Wood
Goldman criticised over CDO after SEC lawsuit
Goldman Sachs has been sharply criticised for arranging a synthetic collateralised debt obligation (CDO) at the centre of a lawsuit filed by the US Securities and Exchange Commission (SEC) last week.
Hedge funds targeted by SEC large-trader reporting proposal
An SEC proposal targets high-frequency trading and fund managers in particular.
Locked out of longevity
Despite regulatory scrutiny of life settlement products and concerns over the complexity of assessing longevity risk, the institutional structured product market in the asset class is growing exponentially. But will these products ever be suitable for…
MAD world
Hedge fund managers might unwittingly be exposing themselves and their firms to compliance risks by failing to fully address the Market Abuse Directive. Should they act now and review internal policies and systems as a key part in abuse detection?
Ticked off with the uptick rule
The US Securities and Exchange Commission revealed a revised uptick rule in February, eliminating a key exemption for options market-makers. But some participants say these new rules will impede liquidity and price efficiency in US options markets. Peter…
Goldman Sachs uses scenarios to study reputation risks
US investment bank Goldman Sachs is pioneering scenario analysis as a tool for managing reputational risk
