| | | The Compliance Exchange News Alert | July 17, 2013 |
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Top-Tier Investment Banking firm seeks a VP Product Compliance Officer to join their compliance team. The Compliance team works closely with management, sales, trading, operations, technology and other areas to help ensure that the firm's high net worth and advisory businesses complies with Firm policies and procedures as well as the requirements of our regulatory authorities, including but not limited to the SEC, FINRA, MSRB and state securities regulators. If you are a fit, please get in touch with Jack Kelly - JKelly@ComplianceSearch.com Feel free to pass the link along to someone else, as well. |
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| One of the most troubling questions job candidates tend to have is how they should answer the question "Do you have any questions?" at the end of an interview. Continue to article |
 Conducting international business is crucial to the success of many companies, especially those whose stock is publicly traded, but corruption temptations often cross the paths of businesses that have operations overseas. |
Another survey presents significant questions regarding the state of ethics on Wall Street and, in particular, the financial services industry. Continue to article |
| Sponsored by:  Pace University and the Association of International Bank Auditors (AIBA) announce a NEW and EXPANDED CCRP® program starting September 5, 2013. This six-month program with 20 three-hour sessions adds two new modules on securities law and consumer protection law. For more information, contact Professor John James, Pace University Graduate Center, One Martine Avenue, Room 520, White Plains, NY 10606,jjames@pace.edu, 203-536-9955 Please Click Here for More Information |
Deutsche Bank AG (DB), the European continent's biggest bank, is among lenders given an extra two years by the Federal Reserve to separate derivatives trading from U.S. units that get government backing. Continue to article |
 Five years after the great financial meltdown, have the U.S. and other advanced economies done enough to head off the next calamity? The short answer is no. |
 Paolo Pellegrini has been lauded as an architect of one of the biggest hedge fund victories in recent memory: Paulson & Company's audacious bet against subprime home loans in 2007. |
 No company or individual is too big for prosecution and anyone who thinks they are is making a grave mistake, U.S. Attorney Preet Bharara said. |
 Fabrice P. Tourre and Brian Stoker share a bond: The Securities and Exchange Commission accused both men of fraud. |
The top federal prosecutor in Manhattan has a message for financial wrongdoers: Don't try to run out the clock. Continue to article |
 Dominique Strauss-Kahn, the former chief of the International Monetary Fund whose career foundered in a series of sex scandals, is making a comeback in finance - this time, in Russia. |
 Throughout yesterday morning, as the thermometer neared 100 degrees outside the Manhattan federal courthouse where former Goldman Sachs Group Inc. (GS) vice president Fabrice Tourre is being tried for securities fraud, jurors could be seen struggling to pay attention to the complex testimony. |
 Rules and regulations for the day. |
What with J.P. Morgan reporting last week and Goldman Sachs and Morgan Stanley reporting second-quarter results this week (along with Citigroup today and Bank of America on Wednesday), you may feel now's the time to join a big U.S. investment bank. Continue to article |
The U.S. Federal Energy Regulatory Commission (FERC) said on Tuesday Barclays and four of its power traders must pay fines totaling $453 million, confirming the nation's top energy cop will pursue its most ambitious market manipulation case to date. Continue to article |
It's a Festivus Miracle in July! Banks are somehow making gigatons of money despite onerous new regulations and capital requirements. Continue to article |
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