Good Risk Governance Pays

Good Risk Governance Pays

Investment Best Practices | Risk Management | Valuation

Category Archives: Leverage

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Using Leverage to Chase Returns

Posted in Derivatives, Disclosure and Transparency, Financial Reporting, Investment Management, Leverage, Liquidity, Litigation, Municipal Bonds, Pension, Regulation, Risk Management
It is no secret that pension economics is becoming the topic du jour in public finance land. On August 11, 2014, the U.S. Securities and Exchange Commission (“SEC”) made known its allegations of securities fraud against the State of Kansas. According to the official cease-and-desist order, information made available to municipal bond investors “failed to… Continue Reading

SEC Examination Priorities For 2014

Posted in Broker Dealers, Compliance, Leverage, Model Risk, Regulation, Risk Management, Valuation
In case you missed it, the U.S. Securities and Exchange Commision (“SEC”) recently published its “Examination Priorities for 2014.” According to this January 9, 2014 document, important priorities include, but are not limited to, the following: Fraud detection and prevention analysis to entail the use of “quantitative and qualitative tools and techniques to seek to… Continue Reading

ERISA Fiduciaries Under Attack: Key Litigation and Regulatory Developments

Posted in Derivatives, ERISA, Fiduciary Liability, Hedge Fund, Leverage, Litigation, Model Risk
Courtesy of Strafford Publications, Dr. Susan Mangiero spoke on the topic of ERISA investment fiduciary pain points and the role of service providers. She was joined by esteemed colleagues Andrew L. Oringer (Partner, Ropes & Gray) and Christine A. Dart (Vice President, Chubb & Son) in a lively and informative debate about current ERISA litigation… Continue Reading