Hong Kong's Securities And Futures Commission Commences Cybersecurity Review...
The Securities and Futures Commission (SFC) has launched a review to assess the cybersecurity preparedness, compliance and resilience of brokers’ internet and mobile trading systems (Note 1). read more...
View ArticleConcurring Statement Of CFTC Commissioner Sharon Y. Bowen Regarding Order...
While we might disagree on the details of today’s order, I think we can all agree on one thing: today’s action is very important to how the swaps industry operates and our system of financial...
View ArticleStatement At Open Meeting: Modernizing And Enhancing Investment Company And...
Good morning. This is an open meeting of the Securities and Exchange Commission on October 13, 2016 under the Government in the Sunshine Act.read more...
View ArticleStatement Of CFTC Chairman Timothy Massad On Order Extending De Minimis...
I thank my fellow Commissioners for unanimously supporting this order, which extends the phase-in of the de minimis threshold for swap dealing by one year.read more...
View ArticleSEC: Hedge Fund Firm And Supervisor Charged With Failing To Prevent Insider...
The Securities and Exchange Commission today announced that a hedge fund advisory firm and a senior research analyst have agreed to settle charges related to their failures to detect insider trading...
View ArticleOffice Of The Comptroller Of The Currency Releases CRA Evaluations For 26...
The Office of the Comptroller of the Currency (OCC) today released a list of Community Reinvestment Act (CRA) performance evaluations that became public during the period of September 1, 2016 through...
View ArticleSEC Adopts Rules To Modernize Information Reported By Funds, Require...
The Securities and Exchange Commission today voted to adopt changes to modernize and enhance the reporting and disclosure of information by registered investment companies and to enhance liquidity risk...
View ArticleIFDP 2016-1181: Can Learning Explain Boom-Bust Cycles In Asset Prices? An...
Colin Caines | Explaining asset price booms poses a difficult question for researchers in macroeconomics: how can large and persistent price growth be explained in the absence large and persistent...
View ArticleIFDP 2016-1182: Option-Implied Libor Rate Expectations across Currencies
Nick Gebbia | In this paper, I study risk-neutral probability densities regarding future Libor rates denominated in British pounds, euros, and US dollars as implied by option prices. I apply Breeden...
View ArticleSIFMA AMG Statement On Today’s SEC Rulemakings
SIFMA’s Asset Management Group (AMG) issued the following statement on today’s rulemakings by the Securities and Exchange Commission (SEC) from Timothy Cameron, managing director and head of SIFMA AMG:...
View ArticleStatement On Adoption Of Investment Company Reporting Modernization, SEC...
In 2015, the Commission issued two proposals to modernize reporting requirements for registered investment advisers and registered investment funds. We adopted the first of these proposals in August....
View ArticleStatement On Adoption Of Open-End Fund Liquidity Risk Management Programs And...
I want to thank the staff for their hard work on these rules. In particular, I want to thank Zeena Abdul-Rahman, John Foley, Andrea Ottomanelli Magovern, Naseem Nixon, Amanda Hollander Wagner, Thoreau...
View ArticleThe Impact Of SEC Enforcement On Public Finance, Andrew J. Ceresney,...
Introductionread more...
View ArticleStatement At Open Meeting On Investment Company Liquidity Risk Management...
Thank you, Chair White.read more...
View ArticleMoscow Exchange: Risk Parameters Change For The Securities RUAL And RUALR
The following risk parameters will be changed:read more...
View ArticleSEC: Company To Pay Penalty For Stock Picking Game That Was An Unregistered Swap
The Securities and Exchange Commission today announced that a New York-based company has agreed to pay a $50,000 penalty for illegally offering complex derivatives products to retail investors through...
View ArticleRemarks By US Treasury Secretary Jacob J. Lew On A Press Conference Call...
Today, Treasury is announcing our final earnings stripping regulations. Earnings stripping is commonly used to minimize taxes after an inversion, and a contributing factor to the erosion of the U.S....
View ArticleUS Treasury’s Issues Final Earnings Stripping Regulations To Narrowly...
Today, the U.S. Department of Treasury and the Internal Revenue Service (IRS) issued final regulations to address earnings stripping. This action will further reduce the benefits of corporate tax...
View ArticleThomson Reuters Launches Specialized Intraday Pricing Service Directed At...
Thomson Reuters has introduced a specialized intraday evaluated pricing service for money market instruments, providing evaluated pricing that is updated throughout the global business day for public...
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