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Compliance and Financial Oversight

Url:	http://complianceoversights.blogspot.com/
Author(s):	Stuart Rosenthal
Language:	English
Tags:	Finance, Legal, Regulatory
Description:	Headlines and daily features on how they impact Recruiting for Local, National and Global entities whose whose missions Include Compliance, Legal and Financial Services. You willl see Blogs and more links and features to help you assess and keep up with what is happening right now and up-to-the-minute.
Ratings	(3 Ratings)
Popularity:	10 Followers

Inside the Fall of Bear | New Job Hunt Wrinkle?

SEC Now Recruiting: Salaries up to $237K

Wall Street Elite Head Back to School

Bank Regulatory Compliance Advice Needed with the Fed, OCC or OTS

In anticipation and based on actual assignments, experience with a Federal Banking agency such as the Federal Reserve, Office of the Comptroller of the Currency, Office of Thrift Supervision is now...more

2009-12-01

Trader and Investment Banker Big Bonus Expectations

WSJ Reports today that Art Dealers say bonus expectations are stoking strong bidding. Andy Warhol painting "200 One Dollar Bills" fetched $43.7 million at Sotheby's this month is pictured...more

2009-11-30

Calpers Investigates Hedge Fund Oversight, Legal & Financial Risk

The California Public Employees’ Retirement System, the nation’s biggest pension fund with $200 billion, has launched an internal investigation into its own oversight of hedge fund deals, The Los A...more

2009-11-25

FINRA Examiners: More Time in Member offices

"We need to become more nimble and faster about doing our cases," Finra Chief of Enforcement Susan Merrill said. She said she's taken to reciting the nursery rhyme "Jack be nimble, J...more

2009-11-19

A Smarter Way to Regulate?

Ron Resnick, co-founder of financial consulting firm CounselWorks, contends there is a smarter way to regulate hedge funds. With numerous hedge fund professionals now the target of insider trading ...more

2009-11-10

Don’t Throw the Baby out with the Bath Water

Financial regulatory reform is poised to emerge in a form that risks being just more of the same, if clear segmentation of oversight duties is not set-out in bright line separation of duties. Say...more

2009-11-09

SEC Registration Bill Advances, But Now What ? Practical Advice on How to Prepare

Following last week's House Committee on Financial Services clearing a bill that would require most alternative investment fund managers to register with the SEC you may wish to read an overview of...more

2009-11-04

SEC may raise RIA threshold to $100M, moving many under state regulation

Some 4,200 advisory firms can expect more oversight and higher costs under legislation that would remove them from SEC oversight and place them under state regulation. Investor Protection Act of 20...more

2009-11-01

S.E.C.'s Madoff Investigation Exhibits

S.E.C. inspector general, H. David Kotz concluded in his full report that inexperienced and sometimes incompetent staff members had failed to adequately investigate numerous warnings and tips about...more

2009-11-01

FINRA Calls for Surveillance by “Unified Single Regulator” & Studying Facebook

Rick Ketchum, FINRA chairman and CEO called for the creation of a single repository of data on all trades on all markets so that the financial industry could be “surveilled by a unified single regu...more

2009-10-29

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Compliance and Financial Ov... Discussion Board

Stuart RosenthalMay 4

Looking for another source of Compliance and Regulatory News for Broker-Dealer, Investment Advisors?
There is a LinkedIn Group http://www.linkedin.com/groups?home=&gid=43606&trk=anet_ug_hm with Direct SEC and other news Feeds

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