Debt securities news and analysis articles - Risk.net

Yarian leaves Barclays; FCA makes Bailey chief executive; Kelleher becomes Morgan Stanley president

09 Feb 2016

Custody

Custody Risk European Awards 2014: Securities Services Provider of the Year

Sponsored feature: BNP Paribas Securities Services

18 Dec 2014

Structured products

Alternatives in an interest rate low: Custom investment solutions

Corporate statement: UniCredit

25 Nov 2013

Operational risk

Don’t rush into regulating shadow banking sector, IIF warns

A new report from the IIF warns regulators to consider different approaches to shadow banking regulation

19 Jun 2012

Operational risk

UBS Securities fined $8 million for inaccurate recording practices

UBS Securities has been fined $8 million by the SEC for inaccurately recording 'locates' information

11 Nov 2011

Structured products

Lookback

02 Jun 2011

People

Goldman Sachs names Entwistle as chairman of South-east Asia

Goldman Sachs has promoted Brooks Entwistle to head South-east Asia operations at the firm and named Sonjoy Chatterjee, who joined the US bank last year after 16 years at ICICI Bank, to replace Entwistle as its new India chairman

21 Mar 2011

Regulation

Iosco draws systemic risk roadmap for securities regulators

International Organisation of Securities Commissions sets out ways in which securities authorities can help control systemic risk

01 Mar 2011

Operational risk

Charles Schwab companies pay $118 million to settle SEC charges, case against execs continues

Charles Schwab in $118m SEC settlement

31 Jan 2011

Regulation

Hong Kong structured product providers warm to ‘cooling off’ period

New SFC rules will also force dealers to offer secondary pricing

15 Jun 2010

Exchange-traded products

ETF role in Dow 'flash crash' under scrutiny

The role of ETFs in the US market “flash crash” on 6 May is under scrutiny following a preliminary report suggesting ETFs and index futures were linked to the event.