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<title>WallStreetAndTechrecent articles</title>
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<copyright>Copyright 2013 United Business Media.</copyright>

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	<pubDate><![CDATA[Mon, 20 May 2013 06:33:56 -0400]]></pubDate>
	<link><![CDATA[http://www.wallstreetandtech.com/regulatory-compliance/when-is-compliance-a-competitive-advanta/240155206]]></link>
	<guid><![CDATA[http://www.wallstreetandtech.com/regulatory-compliance/when-is-compliance-a-competitive-advanta/240155206]]></guid>
	<title><![CDATA[When Is Compliance A Competitive Advantage?]]></title>
	<description><![CDATA[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.]]></description>
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	<pubDate><![CDATA[Fri, 26 Apr 2013 07:50:04 -0400]]></pubDate>
	<link><![CDATA[http://www.wallstreetandtech.com/regulatory-compliance/bankers-could-soon-face-jail-for-reckles/240153671]]></link>
	<guid><![CDATA[http://www.wallstreetandtech.com/regulatory-compliance/bankers-could-soon-face-jail-for-reckles/240153671]]></guid>
	<title><![CDATA[Bankers Could Soon Face Jail For Reckless Behavior]]></title>
	<description><![CDATA[A UK banking commission is currently debating the proposal, with many in favor of punishing reckless acts with jail time.]]></description>
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	<pubDate><![CDATA[Mon, 22 Apr 2013 07:14:00 -0400]]></pubDate>
	<link><![CDATA[http://www.wallstreetandtech.com/regulatory-compliance/amid-conflict-of-interest-debate-new-sec/240153311]]></link>
	<guid><![CDATA[http://www.wallstreetandtech.com/regulatory-compliance/amid-conflict-of-interest-debate-new-sec/240153311]]></guid>
	<title><![CDATA[Amid Conflict of Interest Debate, New SEC Chairman To Appoint Enforcement Lieutenant]]></title>
	<description><![CDATA[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.]]></description>
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	<pubDate><![CDATA[Thu, 04 Apr 2013 07:34:18 -0400]]></pubDate>
	<link><![CDATA[http://www.wallstreetandtech.com/regulatory-compliance/sacs-steve-cohen-didnt-see-this-one-comi/240152295]]></link>
	<guid><![CDATA[http://www.wallstreetandtech.com/regulatory-compliance/sacs-steve-cohen-didnt-see-this-one-comi/240152295]]></guid>
	<title><![CDATA[SAC's Steve Cohen Didn't See This One Coming]]></title>
	<description><![CDATA[There's nothing like a scorned ex-wife to bring down a powerful man.]]></description>
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	<pubDate><![CDATA[Mon, 01 Apr 2013 08:24:33 -0400]]></pubDate>
	<link><![CDATA[http://www.wallstreetandtech.com/regulatory-compliance/will-the-insider-trading-case-against-sa/240152056]]></link>
	<guid><![CDATA[http://www.wallstreetandtech.com/regulatory-compliance/will-the-insider-trading-case-against-sa/240152056]]></guid>
	<title><![CDATA[Will The Insider Trading Case Against SAC Be Too Tough To Prove?]]></title>
	<description><![CDATA[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.]]></description>
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	<pubDate><![CDATA[Fri, 08 Mar 2013 05:52:19 -0500]]></pubDate>
	<link><![CDATA[http://www.wallstreetandtech.com/regulatory-compliance/laundering-881-million-is-now-acceptable/240150367]]></link>
	<guid><![CDATA[http://www.wallstreetandtech.com/regulatory-compliance/laundering-881-million-is-now-acceptable/240150367]]></guid>
	<title><![CDATA[Laundering $881 Million Is Now Acceptable]]></title>
	<description><![CDATA[Senator Elizabeth Warren grills regulators (again) for failing to yank banking charters or criminally prosecute banking executives for their transgressions.]]></description>
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	<pubDate><![CDATA[Tue, 26 Feb 2013 06:52:51 -0500]]></pubDate>
	<link><![CDATA[http://www.wallstreetandtech.com/regulatory-compliance/insider-trader-rajat-gupta-ordered-to-pa/240149432]]></link>
	<guid><![CDATA[http://www.wallstreetandtech.com/regulatory-compliance/insider-trader-rajat-gupta-ordered-to-pa/240149432]]></guid>
	<title><![CDATA[Insider Trader Rajat Gupta Ordered To Pay Back Goldman Sachs]]></title>
	<description><![CDATA[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.]]></description>
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	<pubDate><![CDATA[Fri, 15 Feb 2013 11:42:00 -0500]]></pubDate>
	<link><![CDATA[http://www.wallstreetandtech.com/regulatory-compliance/best-reactions-to-obamas-cybersecurity-e/240148712]]></link>
	<guid><![CDATA[http://www.wallstreetandtech.com/regulatory-compliance/best-reactions-to-obamas-cybersecurity-e/240148712]]></guid>
	<title><![CDATA[Best Reactions To Obama's Cybersecurity Executive Order]]></title>
	<description><![CDATA[Is President Obama's executive order on cybersecurity causing hackers to shudder and financial institutions to breathe a sigh of relief? Here are some of the top reactions on the web to this controversial bill.]]></description>
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	<pubDate><![CDATA[Fri, 15 Feb 2013 07:28:34 -0500]]></pubDate>
	<link><![CDATA[http://www.wallstreetandtech.com/regulatory-compliance/regrets-some-senators-have-a-few/240148650]]></link>
	<guid><![CDATA[http://www.wallstreetandtech.com/regulatory-compliance/regrets-some-senators-have-a-few/240148650]]></guid>
	<title><![CDATA[Regrets? Some Senators Have a Few]]></title>
	<description><![CDATA[Watching Elizabeth Warren grill regulators has some Senators wishing they didn't oppose her appointment to the CFPB back in 2011.]]></description>
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	<pubDate><![CDATA[Mon, 28 Jan 2013 07:37:09 -0500]]></pubDate>
	<link><![CDATA[http://www.wallstreetandtech.com/regulatory-compliance/the-other-side-of-an-insider-trading-inv/240147128]]></link>
	<guid><![CDATA[http://www.wallstreetandtech.com/regulatory-compliance/the-other-side-of-an-insider-trading-inv/240147128]]></guid>
	<title><![CDATA[The Other Side Of An Insider Trading Investigation]]></title>
	<description><![CDATA[When the SEC suspects an organization is involved in fraud, the investigation can last for months, if not years.]]></description>
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	<pubDate><![CDATA[Fri, 25 Jan 2013 08:05:51 -0500]]></pubDate>
	<link><![CDATA[http://www.wallstreetandtech.com/regulatory-compliance/does-the-sec-really-need-mary-jo-white/240147032]]></link>
	<guid><![CDATA[http://www.wallstreetandtech.com/regulatory-compliance/does-the-sec-really-need-mary-jo-white/240147032]]></guid>
	<title><![CDATA[Does The SEC Really Need Mary Jo White?]]></title>
	<description><![CDATA[Some observers have serious reservations about the former John Gotti prosecutor.]]></description>
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	<pubDate><![CDATA[Tue, 08 Jan 2013 08:00:44 -0500]]></pubDate>
	<link><![CDATA[http://www.wallstreetandtech.com/regulatory-compliance/how-to-turn-a-hedge-fund-into-an-informe/240145765]]></link>
	<guid><![CDATA[http://www.wallstreetandtech.com/regulatory-compliance/how-to-turn-a-hedge-fund-into-an-informe/240145765]]></guid>
	<title><![CDATA[How To Turn a Hedge Fund Into an Informer]]></title>
	<description><![CDATA[The Financial Crimes Enforcement Network is working on a rule that could force hedge funds to blow the whistle on themselves.]]></description>
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	<pubDate><![CDATA[Mon, 07 Jan 2013 06:47:22 -0500]]></pubDate>
	<link><![CDATA[http://www.wallstreetandtech.com/regulatory-compliance/global-regulators-give-in-to-banks-over/240145650]]></link>
	<guid><![CDATA[http://www.wallstreetandtech.com/regulatory-compliance/global-regulators-give-in-to-banks-over/240145650]]></guid>
	<title><![CDATA[Global Regulators Give In To Banks Over Risk Rule]]></title>
	<description><![CDATA[Regulators have eased requirements for liquidity rule originally designed to protect the global financial system.]]></description>
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	<pubDate><![CDATA[Mon, 10 Dec 2012 06:54:58 -0500]]></pubDate>
	<link><![CDATA[http://www.wallstreetandtech.com/regulatory-compliance/hsbc-hires-financial-crime-fighter/240144108]]></link>
	<guid><![CDATA[http://www.wallstreetandtech.com/regulatory-compliance/hsbc-hires-financial-crime-fighter/240144108]]></guid>
	<title><![CDATA[HSBC Hires Financial Crime Fighter]]></title>
	<description><![CDATA[The UK bank is currently embroiled in a money-laundering scandal that could cost it over $1 billion.]]></description>
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	<pubDate><![CDATA[Wed, 21 Nov 2012 04:59:18 -0500]]></pubDate>
	<link><![CDATA[http://www.wallstreetandtech.com/regulatory-compliance/surveillance-and-monitoring-through-the/240142483]]></link>
	<guid><![CDATA[http://www.wallstreetandtech.com/regulatory-compliance/surveillance-and-monitoring-through-the/240142483]]></guid>
	<title><![CDATA[Surveillance and Monitoring Through the Looking Glass]]></title>
	<description><![CDATA[Looking ahead to 2013, European regulations are stepping up the need for automated surveillance and monitoring solutions on the buy side, writes SunGard Protegent's, Magnus Almqvist, who says firms must have audit trails and quick answers to questions on suitability and personal dealing.]]></description>
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	<pubDate><![CDATA[Fri, 26 Oct 2012 11:05:01 -0400]]></pubDate>
	<link><![CDATA[http://www.wallstreetandtech.com/regulatory-compliance/did-the-ouster-of-pandit-violate-securit/240010616]]></link>
	<guid><![CDATA[http://www.wallstreetandtech.com/regulatory-compliance/did-the-ouster-of-pandit-violate-securit/240010616]]></guid>
	<title><![CDATA[Did the Ouster of Pandit Violate Securities Laws?]]></title>
	<description><![CDATA[The news that Vikram Pandit's voluntary resignation as chief executive was really a boardroom ouster could trigger regulatory scrutiny.]]></description>
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	<pubDate><![CDATA[Thu, 18 Oct 2012 08:11:00 -0400]]></pubDate>
	<link><![CDATA[http://www.wallstreetandtech.com/regulatory-compliance/insider-trading-gupta-pleads-to-go-to-rw/240009321]]></link>
	<guid><![CDATA[http://www.wallstreetandtech.com/regulatory-compliance/insider-trading-gupta-pleads-to-go-to-rw/240009321]]></guid>
	<title><![CDATA[Insider Trading: Gupta Pleads To Go To Rwanda, Not Jail]]></title>
	<description><![CDATA[Gupta's lawyers argue that a lengthy prison sentence isn't necessary. But perhaps Rwanda isn't right for him either.]]></description>
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	<pubDate><![CDATA[Fri, 14 Sep 2012 11:01:00 -0400]]></pubDate>
	<link><![CDATA[http://www.wallstreetandtech.com/regulatory-compliance/will-the-secs-fine-against-nyse-open-a-c/240007401]]></link>
	<guid><![CDATA[http://www.wallstreetandtech.com/regulatory-compliance/will-the-secs-fine-against-nyse-open-a-c/240007401]]></guid>
	<title><![CDATA[Will The SEC's Fine Against NYSE Open A Can of Worms?]]></title>
	<description><![CDATA[The SEC charged that NYSE's trading data gave select clients a split-second start over retail investors.]]></description>
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	<pubDate><![CDATA[Thu, 30 Aug 2012 10:46:00 -0400]]></pubDate>
	<link><![CDATA[http://www.wallstreetandtech.com/regulatory-compliance/after-latest-financial-scandal-another-r/240006550]]></link>
	<guid><![CDATA[http://www.wallstreetandtech.com/regulatory-compliance/after-latest-financial-scandal-another-r/240006550]]></guid>
	<title><![CDATA[After Latest Financial Scandal, Another Regulator Set To Review Staffing Practices]]></title>
	<description><![CDATA[The last 12 months have seen a host of financial scandals. Now, the NFA has ordered a review of its staff. But can it really revamp its staff?]]></description>
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	<pubDate><![CDATA[Mon, 30 Jul 2012 09:05:32 -0400]]></pubDate>
	<link><![CDATA[http://www.wallstreetandtech.com/regulatory-compliance/futures-industry-debates-solution-to-pro/240004574]]></link>
	<guid><![CDATA[http://www.wallstreetandtech.com/regulatory-compliance/futures-industry-debates-solution-to-pro/240004574]]></guid>
	<title><![CDATA[Futures Industry Debates Solution to Protect Customer Segregated  Accounts]]></title>
	<description><![CDATA[A CFTC panel agreed on the urgency of developing a technological solution for verification of funds in customer segregated accounts, but one industry veteran, warned not to wait until everything is perfect.]]></description>
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	<pubDate><![CDATA[Wed, 25 Jul 2012 09:18:00 -0400]]></pubDate>
	<link><![CDATA[http://www.wallstreetandtech.com/regulatory-compliance/a-game-called-compliance/240004357]]></link>
	<guid><![CDATA[http://www.wallstreetandtech.com/regulatory-compliance/a-game-called-compliance/240004357]]></guid>
	<title><![CDATA[A Game Called Compliance]]></title>
	<description><![CDATA[]]></description>
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	<pubDate><![CDATA[Mon, 23 Jul 2012 09:23:00 -0400]]></pubDate>
	<link><![CDATA[http://www.wallstreetandtech.com/regulatory-compliance/the-biggest-pain-point-in-dodd-frank/240004205]]></link>
	<guid><![CDATA[http://www.wallstreetandtech.com/regulatory-compliance/the-biggest-pain-point-in-dodd-frank/240004205]]></guid>
	<title><![CDATA[The Biggest Pain Point in Dodd-Frank]]></title>
	<description><![CDATA[So far, one rule stands out as the most burdensome in the 848-page Act.]]></description>
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	<pubDate><![CDATA[Wed, 11 Jul 2012 08:27:00 -0400]]></pubDate>
	<link><![CDATA[http://www.wallstreetandtech.com/regulatory-compliance/hsbc-admits-wrongdoing-in-another-money/240003534]]></link>
	<guid><![CDATA[http://www.wallstreetandtech.com/regulatory-compliance/hsbc-admits-wrongdoing-in-another-money/240003534]]></guid>
	<title><![CDATA[HSBC Admits Wrongdoing in Another Money Laundering Affair]]></title>
	<description><![CDATA[Another day, and another bank fails to implement what should be standard controls and procedures.]]></description>
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	<pubDate><![CDATA[Tue, 10 Jul 2012 09:38:00 -0400]]></pubDate>
	<link><![CDATA[http://www.wallstreetandtech.com/regulatory-compliance/sec-enforcement-efforts-fail-to-impress/240003451]]></link>
	<guid><![CDATA[http://www.wallstreetandtech.com/regulatory-compliance/sec-enforcement-efforts-fail-to-impress/240003451]]></guid>
	<title><![CDATA[SEC Enforcement Efforts Fail To Impress Wall Street Execs]]></title>
	<description><![CDATA[Despite recent high-profile insider trading arrests, a new survey of 500 financial professionals shows most do not feel the SEC is effective.]]></description>
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	<pubDate><![CDATA[Mon, 09 Jul 2012 08:41:14 -0400]]></pubDate>
	<link><![CDATA[http://www.wallstreetandtech.com/regulatory-compliance/wall-street-banks-could-take-massive-hit/240003368]]></link>
	<guid><![CDATA[http://www.wallstreetandtech.com/regulatory-compliance/wall-street-banks-could-take-massive-hit/240003368]]></guid>
	<title><![CDATA[Wall Street Banks Could Take Massive Hit From LIBOR Scandal]]></title>
	<description><![CDATA[The unfolding scandal is likely to hit Wall Street's biggest banks. UK regulators are reacting, and the debacle could have long-lasting consequences on the U.S. financial system, experts suggest.]]></description>
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