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Compliance Daily

Saturday, November 21, 2009

Compliance In The News

November 20, 2009 6:47 PMWRITETHRU (Updates with changes throughout.)(HAS TRIM)McClatchy Newspapers(MCT)COLUMBIA, S.C. -The jury needed little time Friday to convict the Midlands men who called...
21 Nov 2009 07:14
November 21, 2009, 6:44 AM / The Bernard Madoff fiasco was a $65 billion tragedy for the thousands of Americans who lost their life savings. However, his now infamous scheme is nothing compared...
21 Nov 2009 06:29
AMITE A Hammond businessman accused of bilking more than 200 investors out of $11 million posted bail to gain his release from custody Friday, according to court and jail records.State fraud...
21 Nov 2009 06:10

United States Spotlight

SEC to Focus on Retirement Offerings

SEC Chair Mary Schapiro said recently that the Commission plans to focus more...

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Stanford Trustee Faces SEC Opposition

Panel Calls for Better Resolution Mechan...

FINRA: An Updated Books & Records...

SEC Hits JP Morgan for Muni Bond Bribes

FINRA Delays Certain Margin Reqs re:...

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European Union Spotlight

CII exemption for ISO certificate

Any financial adviser who gains certification for ISO 22222 will be exempt from...

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FSA update statement on PPI redress

US-based guide to bank compliance

Support for financial education plans

RBI updates criteria on inoperative...

RBI stipulates banks' obligations in...

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