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May 08, 2012 - Julie Goodman

Di Florio: OCIE Spotting PE Conflicts

Securities and Exchange Commission examiners have identified a number of conflicts in private equity firms, including issues concerning the profitability of the management company and favorable discounts to vendors, according to Carlo di Florio, director of the agency’s Office of Compliance Inspections and Examinations.

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May 03, 2012 - Ben Maiden

CCOs Gear Up For Swap Dealer Regime

Compliance teams are swinging into action to prepare for potential registration as swap dealers—or at least to figure out, along with the business side, whether they will avoid having to enroll.

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May 03, 2012 - Julie Goodman

OCIE Scopes Firms’ Compliance Testing

The Securities and Exchange Commission is looking more intensely at compliance testing procedures and firms’ ability to detect violations.

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May 03, 2012

Insider Trading Sentences Get Extra Bite

In response to a Dodd-Frank Act directive, the U.S. Sentencing Commission has promulgated amendments increasing the recommended sentences for defendants convicted of federal insider trading crimes.

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Apr 30, 2012 - Ben Maiden

Muni Board Reviewing Online Platforms

Compliance officers at online trading platforms should keep their eyes on the Municipal Securities Rulemaking Board for possible changes to the expectations of or requirements for their treatment of retail investors.

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Di Florio: OCIE Spotting PE Conflicts
CCOs Gear Up For Swap Dealer Regime
OCIE Scopes Firms’ Compliance Testing
Insider Trading Sentences Get Extra Bite
Muni Board Reviewing Online Platforms

Current

News

  • Features

    Insider Trading Sentences Get Extra Bite

    Thursday, May 03, 2012 10:32 AM
    In response to a Dodd-Frank Act directive, the U.S. Sentencing Commission has promulgated amendments increasing the recommended sentences for defendants convicted of federal insider trading crimes. Read More

  • Features

    Regulatory Talk: Bart Chilton, CFTC

    Thursday, April 19, 2012 4:21 PM
    The Commodity Futures Trading Commission has gained greater prominence under the Dodd-Frank Act, which gave it a far more active role in policing the derivatives markets. Read More

  • Features

    Special Report: Best Practices & Guidance For Keeping Your Firm Safe In 2012

    Thursday, March 15, 2012 2:37 PM
    Compliance Intelligence (the exclusive service from Compliance Reporter) has published a special report designed to highlight some of the key challenges facing compliance officers as they tackle an ever-changing and increasingly complex regulatory landscape in 2012. Read More

  • Features

    Form PF: A Checklist For CCOs

    Thursday, March 08, 2012 4:25 PM
    The adoption of Rule 204(b)-1 under the Investment Advisors Act of 1940 and the finalization of the new Form PF is a watershed event for private fund advisers. Read More

  • Features

    Compliance Clinic: Anti-Graft Due Diligence

    Thursday, January 26, 2012 12:08 PM
    Mergers and acquisitions and joint ventures face increasing scrutiny with stricter global regulation and enforcement. Read More

  • Features

    Compliance Clinic: Cloud Technology

    Thursday, January 12, 2012 2:45 PM
    Many securities industry organizations have embraced cloud technologies or are considering a cloud environment as a means to more efficiently and effectively deliver client products and services, as well as to aid their internal capabilities. Read More

  • Features

    Lynnette Kelly Hotchkiss, MSRB

    Thursday, December 22, 2011 2:13 PM
    The Municipal Securities Rulemaking Board has taken on a more prominent role in the aftermath of the financial crisis and the implementation of the Dodd-Frank Act. Read More

Rule Docket– An at-a-glance listing of key upcoming regulations, so you know what to do, and when, over the coming weeks.

Regulator Guidance Hub -- A one-stop, online hub of recent no-action letters and regulator guidance documents impacting asset managers and brokers.

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From around the web

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  • Financial Times

    Banks Want To Address Rating Agency Dominance

    Up to 20 of Europe’s top banks will discuss a plan to undo the dominance of the big three credit agencies at a private meeting of finance directors in Frankfurt.

  • Financial Times

    DOJ Opens Preliminary Investigation Into JPMorgan

    The U.S. Department of Justice has opened a preliminary investigation into the $2 billion trading loss at JPMorgan Chase.

  • Bloomberg View

    Bloomberg View: Regulators Could Benefit JPMorgan

    Regulators again seem to have been oblivious to large risks at a bank they were supposed to be overseeing, according to Bloomberg View.

  • Wall Street Journal

    Buyout Of Smith Barney Unlikely To Speed Up

    It’s not likely that Morgan Stanley will accelerate its buyout of the Morgan Stanley Smith Barney brokerage unit beyond the 14% stake it is scheduled to purchase from Citigroup.

  • Wall Street Journal

    LightSquared Files For Chapter 11

    Philip Falcone’s LightSquared Inc., a wireless-networking venture, has filed for Chapter 11 bankruptcy protection.

  • Bloomberg

    JPMorgan Investment Office Undergoes Shakeup

    JPMorgan Chase & Co.’s Matt Zames has announced a “renewed focus” on hedging risks since being appointed to lead the bank’s chief investment office after the unit suffered a $2 billion loss.

  • Reuters

    JPMorgan CIO Chief Quits

    Investment chief Ina Drew is set to retire from JPMorgan Chase & Co in response to trading losses that could reach $3 billion or more and which have tarnished the reputation of the bank’s high profile chief executive Jamie Dimon.

  • Wall Street Journal

    DOJ Unable To Report Numbers On High-Level Convictions

    The U.S. Justice Department doesn’t keep count of the numbers of board-level prosecutions and is unable to report the total of executives who have been convicted of criminal wrongdoing stemming from the 2008 meltdown.

  • Financial Times

    Firms See Regulation Drive Up Costs

    According to a survey of global financial firms, extraterritorial regulations, rules that affect businesses outside the country that enacts them, are pushing up costs and driving banks, insurers and asset managers away from particular markets.

  • Reuters

    Bar Associations Tackle Cloud Concerns

    Bar associations in New York, Pennsylvania, North Carolina and Iowa recently issued guidelines for lawyers who use cloud computing, and the American Bar Association is considering a proposal to modify its model ethics rules to address cloud computing.

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