SEC Is Steering More Trials to Judges It Appoints

by The Compliance Exchange on October 21, 2014

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The Securities and Exchange Commission is increasingly steering cases to hearings in front of the agency’s appointed administrative judges, who found in its favor in every verdict for the 12 months through September, rather than taking them to federal court.

The winning streak comes amid a marked shift at the … Read More »

Madoff Trustee, Investor Strike Settlement

by The Compliance Exchange on October 21, 2014

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A real-estate developer who invested with Bernard Madoff agreed to return $32.75 million in cash and surrender $29.35 million in claims against the convicted Ponzi-scheme operator’s investment firm under a new settlement.

Irving Picard , the court-appointed official tracking down money for victims of the biggest Ponzi scheme ever, on Friday … Read More »

Forex-Rigging Fines Could Hit $41 Billion Globally: Citi

by The Compliance Exchange on October 21, 2014

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The cost for banks to settle probes into allegations traders rigged foreign-exchange benchmarks could hit as much as $41 billion, Citigroup Inc. (C) analysts said.

Deutsche Bank AG (DBK) is seen as probably the “most impacted” with a fine of as much as 5.1 billion euros ($6.5 billion), Citigroup analysts led … Read More »

Herbalife Trader Sued for Insider Trading Sues SEC Right Back

by The Compliance Exchange on October 21, 2014

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One of my little obsessions is the social relationship of insider trading. Insider trading is so dumb, and can send you to jail for so long, and pretty much requires an accomplice. How do you decide whom to trust with something so momentous, and so dumb? … Read More »

Lying on your CV – guess which sector employees do it the most ?

by The Compliance Exchange on October 20, 2014

Yep, you got it.

When it comes to lying on résumés, some people may think it’s an Olympic sport.

Some 58 percent of hiring managers said they have caught a lie on a résumé, according to a Harris Poll conducted for CareerBuilder.

The biggest liars ? Financial services.

Of the hiring managers who said they … Read More »

5 Elements of a Job Offer You Can’t Refuse

by The Compliance Exchange on October 20, 2014

Serious gangster sitting and looking at camera on grunge backgroundIn “The Godfather,” Don Corleone (Marlon Brando) helps his on-screen nephew get an acting job with this famous promise: “I’ll make him an offer he can’t refuse.”

What employer enticements make an offer too good for you to refuse? Everyone would rather be paid more than … Read More »

The 8 Best Questions to Ask a Job Interviewer

by The Compliance Exchange on October 20, 2014

  1. How has this position evolved since it was created?

Cheryl Palmer, career coach and founder of the career coaching firm Call to Career, says getting a brief history on the role should clear up whether the position has expanded over the years or has been a dead end for employees.

  1. Interpreting the response

If … Read More »

Top 3 Character Traits To Look For In Your Next Hire

by The Compliance Exchange on October 20, 2014

Character Traits Next HireWhen it comes time to search for a new employee, it can be a little daunting to know what exactly to look for. Apart from specialized skills needed for a role, you need to think about what character traits might be the most important, and how do you go about … Read More »

10 weirdest reasons for blowing off a job interview

by The Compliance Exchange on October 20, 2014

Exploding laptops, a rainy day (in London), a bad batch of shellfish.

It’s safe to say, summer is the prime time of year for skipping out on work-related commitments and just chilling. With the silly season winding down, British recruiting firm Aspire asked its headhunters in the U.K., Singapore, and Hong Kong to recall … Read More »

Hong Kong activists hijack HSBC advertising

by The Compliance Exchange on October 20, 2014

A poster featuring two identical pictures of a young woman holding a yellow umbrella aloft – one emblazoned with the word ‘patriot,’ the other marked ‘traitor’ – was at the entrance of a subway station close to the main protest area in the Admiralty district Monday.

The images underline divisions within Hong Kong, … Read More »



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