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News & Commentary
Content tagged with Compliance posted in March 2009
What Will the G20 Meeting Accomplish?
News  |  3/31/2009  | 
As world leaders prepare for the G-20 summit, it's become clear that stimulus package increases won't be on the table.
How Can Firms Comply With Regs, While Downsizing Their Compliance Department? (video)
News  |  3/31/2009  | 
Companies are downsizing their operations as well as their headcount in internal audit and compliance. But they still need to comply with regulatory requirements, which are increasing.
Industry Needs One Regulatory Voice
News  |  3/26/2009  | 
Aite Group analyst calls for merger between CFTC and SEC.
ISE Proposes Regulatory Reforms
News  |  3/26/2009  | 
Recommends risk-based regulatory framework to address regulatory gaps.
Madoff's Prison Number Wins NY Lottery
News  |  3/25/2009  | 
At least someone--other than the conman himself--- actually made money "investing in Madoff." The Daily News reported yesterday that a Queens construction worker used the swindler's prison number to play the lottery and won $1,500.
The Winter Of Our Discontent May Not Be Over
Commentary  |  3/24/2009  | 
In our zest to find scapegoats, many good people are being unfairly disparaged and reckless statements about our system are being bandied about.
Combating Shortselling: Exchanges Submit Comment Letter to SEC Proposal
News  |  3/24/2009  | 
BATS, NYSE and Nasdaq urge SEC to adopt modified uptick rule with circuit breaker provision.
Madoff Accountant Arrested
News  |  3/19/2009  | 
It was only a matter of time before more people involved in the Bernard Madoff Investment Securities fraud would come out of the woodwork and now the dominoes might begin to fall. On Wednesday, federal prosecutors charged David Friehling, the accountant who audited Madoff's firm, with fraud. Friehling was the only auditor at the firm of Friehling & Horowitz, which the government says was responsible for auditing Madoff's firm beginning in 1991. According to a
Spitzer Weighs In on A.I.G.'s Payments to Trading Counterparties
News  |  3/19/2009  | 
It shouldn't be a surprise that AIG had to make payments to financial institutions that were its counterparties on the other side of credit derivatives or mortgage pools it sold to them.
Pegasystems Releases New Solution for Financial Crimes Case Management
News  |  3/17/2009  | 
The new capability enhances organizations' ability to identify critical breaches and to reduce false positive processing, according to the vendor.
TradeStation Receives Non-Compliance Letter From NASDAQ
News  |  3/13/2009  | 
TradeStation Non-Compliance Due to Board Vacancy, Expects to Fill Vacancy and Regain Compliance
The Morning Madoff Frenzy
News  |  3/12/2009  | 
It was obviously just speculation, but as soon as I got in this morning I started reading the blogs and news reports predicting the outcome of Madoff's day in court. We've all been waiting for this right? One was particularly foreboding - pointing out that Madoff entered the courthouse today without his usual jacket or overcoat. It was chilly this morning and so maybe Madoff knew his fate? Maybe he knew he was going to jail today and would not need a coat from here on out. But then the blogs
Madoff Pleads Guilty, Jailed: "Deeply Sorry and Ashamed"
News  |  3/12/2009  | 
Says Ponzi scheme began in the early 1990s when he was under pressure during recession.
SIX Swiss Exchange fines Dresdner Bank AG London Branch
News  |  3/12/2009  | 
Bank violated rules on reporting off-order book trades with a delay of five days.
International Center For Financial Regulation Appoints First Chairman
News  |  3/9/2009  | 
The ICFR's mission is to address global financial regulation through thought leadership, scholarship and training for the global financial industry.
A Full-Blown Financial Market Reset
News  |  3/5/2009  | 
Securities industry may lose another 68,000 jobs and DJIA may stagnate around 6,000 for three-to-five more years.
NYSE Regulation Appoints Interim CEO
News  |  3/5/2009  | 
Hedge Fund Compliance Tool to Meet New SEC Reporting Requirements
News  |  3/4/2009  | 
In order to address market volatility, the SEC last October mandated weekly Form SH filing requirements for money managers.

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