Posts Tagged “regulators”
Where Bank Regulators Go to Get Rich
by The Compliance Exchange on April 8, 2013
Mary Schapiro, the former chairman of the Securities and Exchange Commission, must take us for fools. No need to worry about her and the so-called revolving door between government and Wall Street, she told the Wall Street Journal on April 2, after (…)
Federal Regulators Must Tread Softly on Executive Pay
by The Compliance Exchange on March 19, 2013
There are two basic, but different approaches to corporate governance.
Regulators And 13 Banks Complete $9.3 Billion Deal For Foreclosure Relief
by The Compliance Exchange on March 1, 2013
Federal banking regulators have reached a $9.3 billion pact with 13 major lenders to settle claims of foreclosure abuses like bungled loan modification and flawed paperwork.
JP Morgan Has Plenty of Shaping Up to Do
by The Compliance Exchange on January 23, 2013
Searching for a banking hero, many in the press falsely awarded the great risk manager trophy to JP Morgan CEO Jamie Dimon.
Even if It Outrages the Boss, Social Net Speech Is Protected
by The Compliance Exchange on January 22, 2013
As Facebook and Twitter become as central to workplace conversation as the company cafeteria, federal regulators are ordering employers to scale back policies that limit what workers can say online.
Goldman, Morgan Stanley to also Settle on Foreclosures
by The Compliance Exchange on January 9, 2013
Goldman Sachs Group Inc (GS) and Morgan Stanley (MS) are expected to agree as soon as this week to a $1.5 billion settlement with federal regulators over botched foreclosure claims
Finra to Shine Light on Dark Pool Trading
by The Compliance Exchange on January 8, 2013
A top regulator plans to shine a light on dark pools, private trading venues that allow buyers and sellers to post orders that are hidden from the rest of the market.
Global Regulators Water Down Bank Liquidity Rules
by The Compliance Exchange on January 7, 2013
Bank shares were poised to gain some ground Monday after global regulators watered down new rules on how much capital lenders have to set aside and delayed their implementation until 2019 in order to avoid crimping lending and an economic recovery.
Citi’s New CEO is Stepping Out to Meet the Regulators
by Jack J. Kelly on January 7, 2013
Former Citigroup CEO Vikram Pandit was unceremoniously shown the door based, in part, for his failure to play well with the regulators.
New Rule Could Turn U.S. Hedge Funds Into Informers on Fraud
by The Compliance Exchange on January 4, 2013
U.S. financial regulators are pushing to turn hedge funds into informers on the white collar crime beat.
