| | | The Compliance Exchange News Alert | August 23, 2013 |
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Our client is looking for an experienced individual providing independent oversight of the Firm's compliance program to ensure that the Firm's swaps activities comply with applicable rules and statutory requirements of the Dodd-Frank Act and self-regulatory organizations, including opining on the adequacy and effectiveness of compliance processes and status of compliance, establishing and administering policies and procedures, preparing and signing the Annual Report, and resolving any noncompliance issues and conflicts of interest and the adequacy and timeliness of actions taken. For more information and to be considered for this role, please get in touch with Michael Tuller - MTuller@ComplianceSearch.com and feel free to pass the link along to someone else, as well. |
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| Do you really think we don't notice that you're just picking on the little guy? Five years after the financial crisis we are still waiting for powerful executives to be held accountable. Continue to article |
For all the efforts to shore up electronic markets in the aftermath of one of America's biggest trading catastrophes, yesterday's options malfunction by Goldman Sachs (GS) Group Inc. shows the dangers haven't gone away. Continue to article |
U.S. Securities and Exchange Commission Chairman Mary Jo White said she would push to adopt proposed automated-trading rules after system errors caused a three-hour halt on the Nasdaq Stock Market. 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 |
Computer breakdowns yesterday shook American equity trading for the second time this week, freezing thousands of stocks listed on the Nasdaq Stock Market for three hours and raising fresh concerns about the fragility of exchanges. Continue to article |
 It was yet another technical difficulty for Nasdaq. |
 Mary Jo was brought into the Securities and Exchange Commission with great fanfare. She was heralded as a champion of the small investor and someone who would aggressively and fearlessly take on Wall Street and the bad guys that plague the industry. |
Hundreds of U.S. Securities and Exchange Commission lawyers and examiners face new obstacles to cashing in on their agency experience under an expanded ethics rule to take effect in January. Continue to article |
 More than a year ago, we reported on how a private equity unit of Oppenheimer & Co. had inflated the valuation of one of its investments, in order to help market a new fund. |
 Big banks have spent an estimated $66 billion on litigation in the past three and a half years, according to SNL Financial. And those numbers are expected to keep swelling, as federal prosecutors and the SEC continue to look at wrongdoings tied to the 2008 financial meltdown. |
 Back in the day when dinosaurs roamed the earth caveman-like people came together to buy and sell securities. The open outcry system where big sweaty guys jostled one another to trade stocks ruled the market. |
A Goldman Sachs Group Inc. (GS) managing director was arrested and charged with first-degree rape after he was accused of sexually assaulting a 20-year-old woman at a home on Long Island, New York. Continue to article |
 U.K. and U.S. regulators are preparing to impose fines as soon as mid-September on JPMorgan Chase & Co. (JPM) after an investigation into the bank's London trading losses last year, a person with direct knowledge of the matter said. |
 Bank of America said Friday morning it would be studying how to improve the work-life balance of the institution's junior staffers, a week after a 21-year old summer intern working for the bank's investment banking unit unexpectedly died. |
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