|
Sec Compliance World
News
- Federated Investors Rule Fight, Davos Roundup, SEC Watchdog: Compliance
Federated Investors Inc. (FII) , the third- largest manager of U.S. money-market mutual funds, is planning legal action to block rule changes being contemplated by the U.S. Securities and Exchange Commission that the company said could destroy the $2.7 trillion cash-management industry.
sec compliance 11 Feb 2012 - FrontLine Compliance Expands Consulting Staff
Firm Adds Two Compliance Industry Veterans (PRWeb February 01, 2012) Read the full story at http://www.prweb.com/releases/FrontLine/Compliance/prweb9150923.htm
sec compliance 11 Feb 2012 - Pre-Announced Compliance Audits Criticized In SEC Ponzi Settlement
Not that two cases from two different Wall Street regulators make a trend, but we?re just about a month into 2012 and both the Financial Industry Regulatory Authority (?FINRA?) and the Securities and Exchange Commission (?SEC?) just published settlements involving the unreasonable delegation of compliance duties. In addition to today?s column about the SEC action, read FINRA Sanctions Brokerage ...
sec compliance 11 Feb 2012 - Smarsh Seeks Input for Second Annual Survey on Electronic Communications Compliance
Smarsh, the managed service leader in secure, innovative and reliable email archiving and compliance solutions, is conducting its second annual survey on the opinions of financial services compliance professionals regarding the retention and oversight of electronic communications, including email, instant messaging, social media, and mobile messaging.
sec compliance 11 Feb 2012 - VirtualScopics Regains Nasdaq Compliance
ROCHESTER, N.Y., Feb. 9, 2012 /PRNewswire/ -- VirtualScopics, Inc. (NASDAQ: VSCP - News), a leading provider of quantitative imaging for clinical trials, today announced that it has received notification from ...
sec compliance 11 Feb 2012 - Foreclosure Settlement, Libor Probe, EBA?s ?Boost?: Compliance
Bank of America Corp. (BAC) , JPMorgan Chase & Co. and three other U.S. banks reached a $25 billion settlement with 49 states and the federal government to end a probe of abusive foreclosure practices stemming from the collapse of the housing bubble.
sec compliance 11 Feb 2012 - Wall Street Compliance Practices Come Under Scrutiny by FINRA and the SEC
FINRA and the SEC both dissect similar fact patterns: the failure to reasonably supervise. In one case, we are presented with a seemingly overwhelmed part-time compliance officer. In the other case, it appears that, at best, a firm's compliance efforts were in denial.
sec compliance 11 Feb 2012 - Trustees approve Ohio State compliance office
Ohio State University trustees have approved the creation of a new office responsible for monitoring compliance with rules and regulations in the wake of its football program's NCAA infractions scandal. The office is a response to the scandal, which led to the resignation of coach Jim Tressel, but its oversight would apply to numerous departments, including athletics.
sec compliance 11 Feb 2012 - SEC?s Owner Threshold, MF Global Hearing, Tax Plan: Compliance
The U.S. Securities and Exchange Commission should double the threshold of owners a company can have before being forced to register with the regulator, according to recommendations from the SEC?s small-business advisory group.
sec compliance 11 Feb 2012 - SEC Plays "Patty Cake" with Big Banks
We?ve been demanding for years now answers to a core question coming from the financial collapse of 2008. Why have the securities regulators, namely the Securities and Exchange Commission, failed to punish the Wall Street banks that fueled the mortgage crisis by underwriting toxic mortgages and selling them to the public?
sec compliance 11 Feb 2012
|