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Compliance - Regulatory Compliance
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When compliance is working, it often goes unnoticed and flies under the radar. However, the value of a good compliance program is hard to measure.Be the first to comment
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FCA will use market surveillance technology to monitor financial transactions across asset classes.
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New regulations and low liquidity have fixed income markets going electronic.
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The Dodd-Frank Act, which turns three in July, has created more questions for IT departments than it has answered.
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A UK banking commission is currently debating the proposal, with many in favor of punishing reckless acts with jail time.
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The appointment follows the departure of Robert Khuzami, who revamped the division in the wake of the financial crisis with a record number of enforcement cases.
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With increased regulation and a more mobile workforce, financial firms are looking for solutions to keep their employees compliant both in and out of the office.
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There's nothing like a scorned ex-wife to bring down a powerful man.
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In the weeks leading up to his arrest, SAC portfolio manager Michael Steinberg apparently told friends he knew he would be indicted but that he expected to beat the charges.
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Early on Friday March 29, federal agents arrested the portfolio manager of SAC, the largest hedge fund in the country. Will SAC Capital founder Steve Cohen, who just enjoyed a week of retail therapy which saw him snap up mansions and Picassos, be next to see the Feds come knocking? Here’s a timeline of events that have put SAC Capital at the center of an insider trading scandal.
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The International Swaps and Derivatives Association (ISDA) may have joined with investment banks to keep exchanges out of the credit derivatives market, European Union regulators said.
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Last year financial firms put an almost unprecedented focus on risk, control and compliance. That trend looks set to continue as organizations deal with the fall-out of regulatory change, major fines, and more.
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Reforms to the world's financial system still fall short of ensuring that big and systemically important banks will not need to be bailed out by governments if they fail.
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Global banking regulators will examine whether their new rules forcing lenders to hold more capital to absorb any future losses should be simplified.
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Mary Jo White, the nominee to head the SEC, tells lawmakers that she will bring a "bold and unrelenting" enforcement program to the agency.
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Bank executives who violate anti-money laundering laws may soon face harsher punishment in the United States.
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Senator Elizabeth Warren grills regulators (again) for failing to yank banking charters or criminally prosecute banking executives for their transgressions.
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Regulatory reform is driving demand for AML programs among investment advisors. Here's what they must have in place.
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The SEC has the power to fix what many say is a long-standing problem for investors. There is just no sign that it actually will, at least any time soon.
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Panelists contend that global financial reporting standards will help banks reduce the tremendous costs of regulatory compliance.
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Mark Cuban, the billionaire owner of a U.S. professional basketball team, on Tuesday lost a bid to throw out a U.S. regulator's civil fraud lawsuit accusing him of insider trading.
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After months of back and forth rhetoric and finger pointing, the country has ended up where many thought we would be: sequestration. In any case, the chatter on Twitter seems to be taking it all in stride. Here are some of the more pointed, and amusing, sequester-related Tweets from the community.
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Orange Business Services - Trading Solutions will power the voice recording capabilities for the cloud based service, leveraging Orange's expertise in voice communications.
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The U.S. Supreme Court on Wednesday limited the authority of the federal government's top securities regulator to seek civil penalties over conduct that occurred more than five years before investigators took action.
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Goldman and other banks are making claims based on a law that allows corporations to be reimbursed as a victim of an insider trading crime.
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