| | | The Compliance Exchange News Alert | September 5, 2013 |
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Our client, a FINRA Registered Broker-Dealer seeks a candidate who has a significant level of generalist knowledge with regards to operating platforms for both brokerage and bank custody and the respective rules, regulations and laws that govern those platforms. For more information and to be considered for this role, 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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| U.S. authorities are conducting a criminal investigation into whether several employees of JPMorgan Chase & Co tried to impede a regulatory investigation into alleged manipulation of power markets, according to multiple sources familiar with the matter. Continue to article |
A year ago, when opposition from the asset-management industry killed her plan to make money-market mutual funds safer, U.S. Securities and Exchange Commission Chairman Mary Schapiro looked to Timothy Geithner, then the Treasury Secretary, to tackle "one of the pieces of unfinished business from the financial crisis." It remains unfinished. Continue to article |
For most of its sixteen-month life as a major financial news story, the "London Whale" trading-loss saga at J.P. Morgan has had one primary antihero: Bruno Iksil, the Whale himself. Continue to article |
| Sponsored by:  | | Compliance Director, OTC Derivatives - Regulator Video Job Description |
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JPMorgan Chase & Co.'s Mary Callahan Erdoes got her first assignment managing money when she was 6 years old. The eldest of four children, Erdoes showed an early aptitude for math that was fostered at her grandmother Kay's suburban Chicago breakfast table, where she helped balance her grandparents' checkbook on an adding machine. Continue to article |
 Compliance rules and regulations of the day. |
 Morgan Stanley (MS) must pay $8.01 million in deferred compensation to an energy trader the firm fired for not meeting with government investigators in 2009, a Financial Industry Regulatory Authority arbitration panel ruled. |
 The exchange of evidence in the government's forfeiture lawsuit against SAC Capital Advisors LP was delayed by a judge until Jan. 6 while the U.S. pursues insider trading prosecutions tied to the hedge fund. |
 Fannie Mae, the government-controlled mortgage-finance company, is starting to prepare investors for the first transaction in which the firm would share the risk of homeowner defaults with bond buyers. |
 International Compliance News & Jobs; Articles -U.K. Lloyds Sale Seen Delayed on Syrian Crisis, Fed Tapering -ICAP Surges after Morgan Stanley Upgrades Broker: London Mover -Bank of England MPC Comments After Sept. Rate Decision |
 In my first job on Wall Street in 1982, I shared an office with the assistant to the top auto industry analyst, Maryann Keller. Our workspace was across the hall from hers, and I could watch and hear her through the glass. |
 New details are emerging about the suicide of Pierre Wauthier, the 53-year old CFO of Zurich Insurance, that can only be bad for Josef Ackermann, his boss and the former CEO of Deutsche Bank. |
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When: Sep 10 - 11, 2013
Where: New York Athletic Club, 180 Central Park South, New York, NY 10019 (map) Description: The Global Alpha Forum was created in 2007 by the Connecticut Hedge Fund Association, a not-for-profit organization for hedge fund professionals and other stakeholders. Originally designed as a conference where industry stakeholders could share investment ideas and discuss the state of the economy and global capital markets, today's Forum is oriented from the perspective of the institutional investors in their global search for alpha. For More Details Read Here |
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