After a ten-year Teutonic tempest, it’s coming around.
The little regulator that could has 10b5-1 plans, SPACs, Twitter, accounting and chief compliance officers in his sights.
That’s how it’s supposed to work, right?
It’s the perfect Deutsche Bank solution to a problem.
Gene Levoff allegedly took a "Think Different" approach to his day job.
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).
To us, Fabiana Abdel-Malek, you are perfect.
Unless you work in compliance, the days of champagne, caviar, and blow are back!
What's German for "Whisper, dummies!"?
It's awesome to create internal safety committees but FINRA kind of prefers that you, like, make them do stuff.
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.
Philippe Hébert see a lot of room for improvement.
The hedge fund formerly known as SAC Capital complies like nobody's business.
Jamie is not f@cking around with compliance these days.
Then head on down to Florida and get a certificate in "Compliance, Risk and Anti-Money Laundering"...the first of its kind!