Latest News
- Disaster and Business Continuity
- Derivatives Operations +
-
Securities Operations
+
- Affirmation, Allocation & Confirmation
- Back Office
- Buy-Side
- Case Studies
- Clearing
- Corporate Actions
- Data Management
- FX Operations
- Hedge Fund Operations
- Industry News
- Mergers & Acquisitions
- Middle-Office
- Operational Risk
- Ops Automation
- Outsourcing
- Private Markets
- Reconciliation & Exceptions
- Risk Management
- Sell-Side
- Settlement
- T+1 Settlement
- Diversity & Human Interest +
- FinTech Trends +
- Opinion +
- Performance Measurement +
- Regulation & Compliance +
- Industry News +
- FTF Media & Content Channels +
- FTF Bull Run Blog
The regulator wants analysts to mean what they say.
The SEC has censured a former Deutsche Bank research analyst who was charged with “certifying a rating on a stock that was inconsistent with his personal view.” The former analyst, Charles P. Grom, follows the familiar formula of neither admitting nor denying the charges in the SEC’s cease-and-desist order. However, he has “agreed to settle...
Already a subscriber? Login here
