U.S. financial-firms board members are accountable for #compliance, SEC’s di...
U.S. financial-firms board members are accountable for #compliance, SEC’s di Florio tells Compliance Complete http://t.co/XC28GWeI
View ArticleCFTC sets final rules on #swaps dealer relationship documentation, swap...
CFTC sets final rules on #swaps dealer relationship documentation, swap confirmation, portfolio reconciliation http://t.co/dCxobXE1
View ArticleSEC Commissioners Gallagher, Paredes in this statement http://t.co/ERyJnm9L...
SEC Commissioners Gallagher, Paredes in this statement http://t.co/ERyJnm9L stake a claim claim to #moneymarket fund turf. #compliance
View Article“#Lance (Armstrong) Inc.” takes a page from corporate strategy for settling...
“#Lance (Armstrong) Inc.” takes a page from corporate strategy for settling with #SEC: http://t.co/gjH0Hj80 #compliance
View ArticleU.S. Justice Department targets #compliance lapses in new money-laundering...
U.S. Justice Department targets #compliance lapses in new money-laundering enforcement shift http://t.co/EoZvBYO9 #AML
View ArticleU.S. consumer bureau’s mortgage-servicing rules are a good step, despite...
U.S. consumer bureau’s mortgage-servicing rules are a good step, despite shortcomings: http://t.co/bNNNF1Yh #compliance #banking
View ArticleSanctions and prosecutions against international #banks creates dark market,...
Sanctions and prosecutions against international #banks creates dark market, increase risk http://t.co/tO7drK9A
View ArticleAs hedge funds rush to set up reinsurers in Bermuda as a capital source, lax...
As hedge funds rush to set up reinsurers in Bermuda as a capital source, lax regulation may fuel systemic risks: http://t.co/tYR5BEGp
View Article#ETF’s are “next great regulatory accident waiting to happen.” Thoughtful...
#ETF’s are “next great regulatory accident waiting to happen.” Thoughtful letter to FT – http://t.co/89TcB41A #compliance
View ArticleBrokerages stumble on following in-house supervision rules-study...
Brokerages stumble on following in-house supervision rules-study http://t.co/flLieh9z via @reuters
View Article“Volcker rule” exemption for liquidity management remains half-thought –...
“Volcker rule” exemption for liquidity management remains half-thought – Financial Regulatory Forum http://t.co/dnvCpDdj
View ArticleU.S. banking group warns of raised Internet threat after bank outages, cites...
U.S. banking group warns of raised Internet threat after bank outages, cites Microsoft flaw http://t.co/KzTGKYke
View ArticleHere’s the to PDF from US bank regulators reopening comment period on swaps...
Here’s the to PDF from US bank regulators reopening comment period on swaps margin, capital rules: http://t.co/5A1qxodw
View ArticleTwo US courts give conflicting guidance on whistleblower protections for...
Two US courts give conflicting guidance on whistleblower protections for internal reporting -Financial Regulatory Forum http://t.co/oYHBtTP3
View ArticleArhoolie Records set highlights 50 years of roots-music
BOSTON (Reuters) – Chris Strachwitz discovered the first performer for his Arhoolie Records label by quizzing roadside field hands, a prosperous cotton farmer named Mr. Tom Moore, and a man called Peg...
View ArticleBook Talk: ‘Gun Guys: A Road Trip’ explores America’s gun culture
BOSTON, March 21 (Reuters) – Writer Dan Baum, a self-described Jewish liberal Democrat and a gun enthusiast since childhood, strapped a revolver to his side in 2009 and set off on an 18-month, 15,000...
View ArticleFRB: Press Release–Federal Reserve Board announces AML enforcement action...
FRB: Press Release–Federal Reserve Board announces AML enforcement action with Citigroup http://t.co/y5vPS2WIGj
View ArticleSEC complaint against ex-KPMG partner London, acquaintance:...
SEC complaint against ex-KPMG partner London, acquaintance: http://t.co/9t77hKNEH6
View ArticleBook Talk: “The Last Train to Zona Verde,” Paul Theroux’s African signoff
BOSTON, May 9 (Reuters) – Paul Theroux said his literary goodbye to Africa at a train station in Luanda, Angola, five decades after he first visited the continent as a Peace Corps volunteer. In his new...
View ArticleText of settlement agreement between New York DFS and Bank of...
Text of settlement agreement between New York DFS and Bank of Tokyo-Mitsubishi over Iran sanctions AML violations: http://t.co/sV1h7gnRCN
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