| | | The Compliance Exchange News Alert | August 6, 2013 |
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Our client, a global and emerging markets manager is seeking a Compliance Analyst who understands the macro and equity markets, the fiduciary obligations of investment advisers, and the regulatory requirements of registered investment advisers. The individual will work closely with business operations and investment personnel in addition to various members of the firm's Legal and Compliance Department. The Compliance Analyst is primarily responsible for day-to-day maintenance and testing of compliance program. If you are a fit, please get in touch with Jack Kelly - JKelly@ComplianceSearch.com and feel free to pass the link along to someone else, as well. |
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| A recent report that U.S. prosecutors are calling "the biggest international money laundering prosecution in history" raises great concern for organizations involved with assets traded via the internet. Digital currency was developed as a way to make anonymous transfers over the internet without paying fees to a bank. Continue to article |
U.S. regulators tightened financial responsibility rules for broker-dealers in a way that may raise funding and capital requirements. The rules aim to better protect customers if a broker-dealer defaults, and comes after shortfalls in restitution in the Bernard Madoff Ponzi case and the collapse of MF Global. The rules, which were issued by the Securities and Exchange Commission (SEC), also introduce requirements on leverage arising from repurchase agreements and on risk management. Continue to article |
A French judge is investigating the daughter of Uzbekistan's President Islam Karimov for alleged money-laundering, linked to possible secret commissions allegedly paid by Swedish telecoms firm TeliaSonera for access to the Uzbek market. Continue to article |
Oppenheimer Holdings Inc. will pay $1.4 million to settle a brokerage industry regulator's claims that it had an inadequate anti-money laundering program and failed to detect and report suspicious penny stock transactions. Continue to article |
In a victory for federal regulators, an administrative judge has found three former executives who worked for Allen Stanford's now-defunct brokerage liable for fraud and said they should banned from the 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 |
 HSBC Holdings Plc (HSBA), Europe's largest lender, said possible damages from a lawsuit filed by a U.S. regulator over improperly sold mortgage-backed securities could cost the bank as much as $1.6 billion. |
Former FBI chief Louis Freeh, the state-appointed trustee in the MF Global bankruptcy case, has asked to be paid another $1 million for winding down the failed brokerage. Continue to article |
HSBC Holdings PLC on Monday posted a 23% increase in net profit for the first half of the year, results that were due in part to a three-year cost-cutting plan. Continue to article |
UBS AG agreed to pay $49.8 million to settle U.S. Securities and Exchange Commission charges it misled investors about a mortgage bond transaction it structured prior to the 2008 financial crisis, the regulator said on Tuesday. Continue to article |
With a growing body of knowledge documenting that highly ethical organizations are also high performing, enlightened business leaders are driving a new and ongoing convergence between ethics and compliance. Continue to article |
 Standard Chartered reported on Tuesday that profit fell 24 percent in the first half of the year, as the firm took a $1 billion charge related to its operations in South Korea. |
At the tiny offices of Bespoke Investment Group in Harrison, N.Y., the founders answer the phones and also provide clients with a stock portfolio that has jumped 65 percent in one and half years, more than double the S&P 500's gain. Continue to article |
|  Soon after the financial crisis, international regulators identified Wall Street's lush pay packages as one of the culprits and proposed an overhaul that was meant to apply equally to employees of American investment banks and their big European rivals. |
| CompliancEx provides our viewers with in depth industry articles, seminar and conference information, advertisers relevant to Compliance and a chance to write editorials for our blog.
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