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 |
One by one, Gary Gensler's supporters deserted him. Now the chief U.S. regulator of derivatives was being summoned by Treasury Secretary Jacob J. Lew to explain why he refused to compromise. Continue to article |
After a full year's delay, the Securities and Exchange Commission recently lifted a ban on general solicitations for certain private securities offerings. Continue to article |
| Sponsored by:  | | Compliance Director, OTC Derivatives - Regulator Video Job Description |
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The Securities and Exchange Commission chief is holding a meeting next week with exchange bosses after Nasdaq OMX and NYSE Euronext took turns blaming each other for a technical glitch that paralyzed trading in thousands of Nasdaq-listed stocks for nearly three hours. Continue to article |
 JPMorgan Chase & Co has agreed to pay $18.3 million to settle claims that documents for mortgages acquired by a unit of Bear Stearns Cos failed to disclose material information about interest rates. |
 Compliance rules and regulations of the day. |
Things heard in the Goldman Sachs elevators do not stay in the Goldman Sachs elevators. Continue to article |
 Banks and asset managers running money-market funds face a regulatory push from the European Union amid warnings from lenders that the plans may kill off part of the $4.7 trillion global industry. |
 International Compliance News & Jobs; Articles -Chile Central Bank Cuts Growth Forecast on External Conditions -Canadian Stocks Little Changed as Banks Gain, Commodities Drop -European Union launches clampdown on shadow banking |
 In investment banking, names matter. Large bulge-bracket banks work on the biggest deals, create all headlines and have the most gravitas. But that doesn't mean they employ the happiest, most satisfied employees. No, those folks appear to work at 1,000-person firm Houlihan Lokey. |
 A federal judge Tuesday dismissed a Bank of America Corp. BAC +0.85% lawsuit alleging former Bear Stearns Cos. executives Ralph Cioffi, Matthew Tannin and Raymond McGarrigal misled the bank about the financial health of two funds that eventually collapsed and led to significant losses. |
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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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