Tuesday, 20 August 2013

Philip Falcone Barred From Securities Industry For 5 Years In $18 Million Settlement

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The Compliance Exchange News AlertAugust 20, 2013

Our client, a top-tier international investment bank, is looking for an experienced attorney to join the New York Legal Department as Senior Counsel responsible for all matters related to market documentation, including derivatives, repo and securities lending transactions.

 

For more information and to be considered for this role, please get in touch with Michael Lane - MLane@compliancesearch.com and feel free to pass the link along to someone else, as well.

 

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The Securities and Exchange Commission has reached a settlement with hedge fund adviser Philip Falcone and Harbinger Capital Partners involving multiple allegations, including that Falcone used the fund's assets to pay his personal taxes.

 

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Groupon has had a hard time satisfying regulators.

 

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The Justice Department is expected to name Leslie R. Caldwell, the former lead prosecutor in the Enron case, as the next head of its criminal division, according to people briefed on the decision.

 

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Toyota Financial Services currently have several open compliance roles. Join a dynamic company known for rapid growth and solid success. Please click on any of the links below for more details

  

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Passage of a sweeping overhaul of Wall Street regulations in 2010 was a hallmark of President Barack Obama's first term. Three years later, amid delays and compromises that critics say have diluted its ambitious goals, the president is trying to rekindle the law's promise.

 

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Five years after one of the most costly financial crises in U.S. history, the 18 largest banks still fall short in at least one of five areas critical to risk management and capital planning, the Federal Reserve said.

 

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The Federal Reserve won't rest until the nation's biggest banks are 100% safe, which means, basically, the Fed won't rest.
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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  

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Rules and regulations of the day.

 

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Auditors performed complete and correct audits of at least three brokerage firms last year, the Public Company Accounting Oversight Board said Monday.

 

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After speaking with 1,000s of corporate professionals over the last decade I have seen patterns emerge which serves as a greater indicator of a person's chance of career growth and success.
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Most large banks appear to have been sailing through the annual "health checkups" they have had to undergo since the financial crisis.

 

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The Justice Department is investigating whether J.P. Morgan Chase & Co. manipulated U.S. energy markets, according to people familiar with the case, marking the latest legal hurdle for a bank already facing a mountain of litigation and regulatory scrutiny.

 

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A federal judge has endorsed a broad interpretation of a savings-and-loan era law that the Justice Department is trying to use in cases against Wall Street banks.
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Hopefully today doesn't have you feeling like this guy. Here are a few tips to get you pumped up and productive this week: Free your mind and your apps will follow: this week's (best) free Android and iPhone apps The quiet power of silencing your phone Why treating life like an experiment will help you make faster decisions ...»

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