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SEC Risk Factors Disclosure Analysis

Harvard Corporate Governance

Opportunities remain to better align external risk reporting with internal risk management and reporting processes, improve the readability and categorization of risks, and make disclosures less generic.

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Best Financial Innovations 2024

Global Finance

The project’s deployment required the collaborative efforts of several bank departments, including business, legal, compliance, engineering, security and IT, as well as outside technology vendors Metaco and Avaloq. Innovation: Blockchain-Based Digital Bond Project Company: China Central Depository & Clearing Co.

Banking 109
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Arnold & Porter Discusses Today’s SEC Examination Priorities, Tomorrow’s SEC Enforcement Actions

Reynolds Holding

Exams intends to review advisers’ conflicts and disclosures around portfolio strategies, risk management, and investment recommendations and allocations, including investments in Special Purpose Acquisition Companies (SPACs) and particularly where the private fund adviser is also the SPAC sponsor.

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The Front Office, Middle Office, and Back Office: How Banks Organize Their Dungeons

Brian DeChesare

Middle Office: In these roles, you “support” the front office with tasks such as managing the market risk on trades, managing liquidity for the bank’s operations (treasury), and determining the credit risk of counterparties in trades. These roles all tend to pay more and have more competitive hiring processes as well.

Banking 98
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The Fundamentals of Financial Risk Management Explained

Audit Board

Financial risk is the likelihood that the organization will lose money on a business investment or other decision, including loss of capital. Below are six types of risks that fall into the financial sphere, including operational risk, credit risk, market risk, liquidity risk, legal risk, and foreign exchange risk.

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Cleary Gottlieb Discusses Proposed Capital-Requirement Increases for Banks

Reynolds Holding

The main thrust of the proposal is to eliminate the use of models in relation to credit risk and operational risk and, for market risk exposures, to make the use of models much more difficult to be approved (and to stay approved). from outside the large banking organizations).

Banking 40
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How to Conduct an M&A Risk Assessment

M&A Leadership Council

Legal and Regulatory Risks: - Compliance: Ensuring the target complies with relevant laws and regulations. - Litigation: Identifying ongoing or potential legal disputes. - Regulatory Approval: Assessing the likelihood of obtaining necessary regulatory approvals.