Risk USA: Regulators need different focus to risk managers, says SEC risk adviser

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Risk.net Risk Management News Update 3 November 2011 This Week's Top Story Risk USA: Regulators need different focus to risk managers, says SEC risk adviser Different approaches taken by regulators and risk managers are justified, according the SEC's Gregg Berman Categories: Risk Management Topics: Securities and Exchange Commission (SEC), RiskMetrics, Risk USA, Systemic risk Mobile RSS Auditing Risk Management course London 29 & 30 November 2011 Risk Magazine is delighted to offer a seminar that will provide unique insights from some of the worlds leading financial institutions. More of this week's news Thai banks deploy continuity plans as settlement and liquidity risks rise due to floods The Bank of Thailand and the country's leading banks are moving to ensure the country's payments systems do not grind to a halt due to Thailand's worst flooding in 50 years. So far, Thailand's high... US SEC slams Finra for altering documents Finra must improve after misleading regulator, order says Small banks need 'clear exit path' out of Tarp Sigtarp has called on the US Treasury to aid smaller banks in exiting Tarp SEC appoints two trading and markets associate directors The US Securities and Exchange Commission has named heads of regulation for derivatives policy, and clearance and settlement Asia Risk Congress 2011: Clashes with CFOs more likely as CRO role gains prominence in Asia The role of a chief risk officer (CRO) is becoming increasingly relevant at institutions in Asia – sometimes creating friction with the CFO. And Chinese CROs face additional challenges, according to... FBI arrests Gupta in Galleon insider-trading case Rajat Gupta surrendered to the FBI on October 26 after being accused of leaking information to Galleon founder Raj Rajaratnam Finra fines UBS $12 million for failing to adequately supervise short sales Fine from Finra is latest indicator of UBS's control and supervisory issues The Hartford appoints Rupp as chief risk officer Fortune 500 group The Hartford appoints new executive vice-president and chief risk officer Asia Risk Congress 2011: CCP users need tactical collateral planning due to Basel III capital squeeze The increasing need for liquid, high grade assets under Basel III capital requirements will likely squeeze liquidity in the types of eligible collateral required by central counterparty (CCP) clearings... Related news this week from other categories Risk USA: Regulators need to be wary of capital overshoot, says Roldán Adding to Basel III capital levels may have unintended consequences, says former chair of Basel Committee's standards implementation group Risk USA: Tarp compensation restrictions are a "sideshow", says Feinberg Former Tarp special master doubts that limits will change compensation behaviour Companies fail to address increasing scheme member longevity For every extra year a pension scheme member lives, liabilities increase 3%, according to Club Vita's Gaches   Related publications: Risk magazine, Operational Risk & Regulation, Life & Pension Risk, Asia Risk Related categories: Regulation, Liability Management

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