When Is Compliance A Competitive Advantage?May 20, 2013When compliance is working, it often goes unnoticed and flies under the radar. However, the value of a good compliance program is hard to measure.
Struggling HFT Firms Focus On New TechnologiesApril 09, 2013High-frequency trading firms face declining profits and increased scrutiny. But microwave and other new technologies are helping keep them in the game.
Ten Things Compliance Officers Need To Do In 2013March 25, 2013Last 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.
The Start of Another Financial CrisisFebruary 19, 2013It's a deja-vu: the stability of the global markets could soon be under threat due to a looming crisis in the derivatives industry.
MF Global Customers to Get Most of Their Money Back - FreehFebruary 04, 2013Former customers of Jon
Corzine's collapsed brokerage MF Global would recover most, and
probably all, of their money under the latest projections by the
trustee liquidating its bankrupt parent company.
Deutsche Bank Swallows $4 Bln of Charges for Clean UpJanuary 31, 2013Deutsche Bank plunged to its worst quarterly loss in four years on Thursday after it took nearly $4 billion in charges to try and draw a line under a slew of scandals and boost its balance sheet without asking shareholders for cash.
Peregrine Financial's ex-CEO's ex-Wife Sued Over Divorce MoneyJanuary 28, 2013Some of the more than $100 million
Peregrine Financial's former chief executive stole from his
brokerage's clients went to pay for his divorce settlement, the
trustee of the now-bankrupt brokerage said in a lawsuit late
Friday against the former wife.
