CompliancEX spotlight: Securities and Exchange Commission Inspector General David Kotz

Jack Kelly Archive

The Height of Regulatory Hypocrisy

The Securities and Exchange Commission (SEC) announced an order against the Financial Industry Regulatory Authority (FINRA) requiring the company to improve its documentation policies. As you may know, the SEC has oversight responsibilities over FINRA and conducts routine examination of its operations. The process ...Read More

HSBC drastically cuts 30,000 jobs

HSBC, in a stunning corporate redirection, announced plans to downsize 30,000 people, which is approximately 10 percent of the workforce. The job cuts are part of a broader cost-savings and business initiative to enhance profits and revive growth The most recent announcement was made ...Read More
A DAILY ROUNDUP OF THE MOST FASCINATING WALL ST, COMPLIANCE AND REGULATORY NEWS.