| | | The Compliance Exchange News Alert | September 27, 2013 |
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Our client, a top global asset management firm, seeks an individual who will have responsibility to provide the business with real-time compliance advice as it pertains to portfolio management and trading for the Emerging Markets Equity, International Convertibles and Emerging Markets Distressed Debt Strategies, as well as monitor discretionary funds and accounts in accordance with client guidelines, internal policies and procedures and regulatory requirements. The individual will also be responsible for trade reviews relating to, for example, best execution, unusual trading activities and ad hoc reviews. 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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|  Mary Jo White, chair of the Securities and Exchange Commission, Thursday spelled out the criteria for when the agency will likely require a company or its executives to admit misconduct. |
 On Tuesday (Sept. 24), the Wall Street Journal reported that JP Morgan was offering the government $3 billion to settle (paywall) an unspecified number of criminal probes after the Department of Justice threatened to file suit in an investigation of its pre-crisis mortgage dealings. |
 Not long ago, Goldman Sachs was Wall Street's lightning rod, attracting bad publicity and interventions from regulators. Its place has been taken by JPMorgan Chase. |
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 The Securities and Exchange Commission on Thursday accused the former chief executive and chairman of an American-listed Chinese education company of stealing $41 million from investors. |
 The main US derivatives regulator is facing growing pressure to delay the introduction of key market reforms, amid concerns from market participants and overseas regulators that its overhaul could damage global swaps trading.. |
 JPMorgan Chase & Co.'s (JPM) negotiations with federal and state authorities to resolve a series of investigations tied to mortgage bonds are focusing on a potential $11 billion figure, including $4 billion for consumer relief, a person familiar with the talks said. |
 Federal authorities, broadening their investigation of Bernard L. Madoff's multibillion-dollar Ponzi scheme five years after the fraud was uncovered, unveiled criminal charges on Thursday against Paul J. Konigsberg, a longtime accountant in Mr. Madoff's inner circle. |
 Shares in ICAP lost 2pc of their value, reducing the company's market capitalisation by £56m, almost exactly the same amount as it has been forced to pay in fines by the British and US authorities. |
 Through the second half of 2011, debate raged in financial markets over whether the U.S. Federal Reserve would embark on a third round of massive bond purchases, known as "quantitative easing," to shore up an anemic economy. Pacific Investment Management Co wasn't waiting to find out. |
 The exchange industry is considering increasing backing up each other's stock-pricing data as one of many possible solutions aimed at reducing the number of technology glitches that have caused recent mishaps, a source told FOX Business. |
 The profit motive of Big Business actually helps the poor more than charity does, at least according to Goldman Sachs CEO Lloyd Blankfein. |
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When: Sun, September 29, 5pm - Tue, October 1, 6pm
Where: Renaissance Washington, DC Downtown Hotel ,Washington, D.C Compliance deadlines are around the corner and by now your organization is knee deep in preparing to implement new rules. Make sure you have a solid understanding of what will be enforced in a few short months. To efficiently build policies and procedures to comply with new rules and requirements, you must first become an expert on what lies ahead. Get in the center of it all in our nation's Capitol and attend MBA's Regulatory Compliance Conference 2013 to hear directly from regulators, lawmakers and industry experts to get the timely information you need as our industry braces for January 2014. Don't let piles and piles of new rules overwhelm you. Take control and get the information you need to meet compliance deadlines. For More Details Read Here |
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