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Compliance Daily

Tuesday, November 24, 2009

Compliance In The News

Monday, November 23, 2009, 11:07am ESTGeneral Cable Corp. said Monday that the U.S. Department of Justice and European Commission have requested information and documents relating to an investigation...
23 Nov 2009 15:58
NEW YORK -- The Securities and Exchange Commission will shift its focus in hedge-fund insider-trading probes towards financial instruments such as derivatives, according to a report published...
23 Nov 2009 15:30
The proposed offering will be made only by means of a prospectus. Copies of the preliminary prospectus related to the offering may be obtained, when available, from: Goldman, Sachs & Co.,...
23 Nov 2009 15:27

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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