compliance
Deutsche Bank Thinks There Might Be Something To Criticisms Of Its Compliance Program
After a ten-year Teutonic tempest, it’s coming around.
Gary Gensler To Do More In First Months Than Jay Clayton Did In Four Years
The little regulator that could has 10b5-1 plans, SPACs, Twitter, accounting and chief compliance officers in his sights.
Hedge Fund Lawyer Settles Document Forgery Allegations, Gets Promoted, Still Gets To Be A Lawyer
That’s how it’s supposed to work, right?
![How do you say, "low six-month fix" in emojis? Helar Lukats [CC BY-SA 4.0], via Wikimedia Commons](https://dealbreaker.com/.image/ar_16:9%2Cc_fill%2Ccs_srgb%2Cfl_progressive%2Cg_faces:center%2Cq_auto:good%2Cw_620/MTYxMjc3MTIyODIwMTIyNTg4/whatsapp.jpg)
Deutsche Bank Says Traders Can Use WhatsApp Through Other App No One Uses
It’s the perfect Deutsche Bank solution to a problem.
SEC Says Guy Who Was Being Paid To Keep Apple Employees From Insider Trading Apple Stock Had Sweet Side Gig Insider Trading Apple Stock
Gene Levoff allegedly took a "Think Different" approach to his day job.
Checklist: 10 Ways to Ensure Your Organization is UBO Compliant
As of May 2018, financial institutions now need to comply with new U.S. Treasury Department rules applying to any parties qualifying as “ultimate beneficial owners” (UBOs).
Former UBS Compliance Officer Hit With Insider Trading Charges Because Sometimes These Just Write Themselves
To us, Fabiana Abdel-Malek, you are perfect.
Investor Dollars Not Alone In Fleeing Och-Ziff
The hedge fund's compliance and IR people are taking a little breather.
Layoffs Watch '16: Nobody Is Getting Fired Ever Again!
Unless you work in compliance, the days of champagne, caviar, and blow are back!
Regulators Would Prefer That Deutsche Bankers Not Disclose Nonpublic Information Via Megaphone At The Office
What's German for "Whisper, dummies!"?
E*Trade Fined $900K For Handling Customer Data Like Actual Babies
It's awesome to create internal safety committees but FINRA kind of prefers that you, like, make them do stuff.
Deutsche Bank Wondering If It Was Clear Enough With Executives On Its "Don't Line Your Pockets At Bank's Expense" Policy
Structuring trades to take millions from the bank and put them in your own pocket is exactly the kind of sh!t John Cryan is talking about.
Barclays France Doing A Pretty Poor Job At Compliance, Says Guy In Charge Of Barclays France's Compliance
Philippe Hébert see a lot of room for improvement.
Point72 Asset Management Pretty Sure Point72 Should Win An Award For Compliance Awesomeness
The hedge fund formerly known as SAC Capital complies like nobody's business.
Layoffs Watch '16: Rebellious JPMorgan Treasuries Traders
Jamie is not f@cking around with compliance these days.
Does Napping Through Compliance Classes By Day, Throwing Dollar Bills At Dancers In Pasties At Night Sound Like Something You'd Be Interested In?
Then head on down to Florida and get a certificate in "Compliance, Risk and Anti-Money Laundering"...the first of its kind!