Tuesday, January 8, 2013

Comments from Senior Sell Side Compliance Officers of late to +Stuart Rosenthal: Compliance is getting tougher and tougher, There are some good regulators that do not have an agenda.

From Another:
IS it a good time to be in compliance?  I know people getting out because the regulators are targeting CCO's and some of the regulations have gotten crazy, not to mention that budgets are terrible because the business isn't robust.

Yet another CCO is concerned because he knows Investment Banking and Trading Commissions are 'squeezed.'

What else is new? Today from Twitter 

finally announces enforcement director's departure weeks after initial reports:

Did you know you can have a free trial toCompliance Intelligence 

Today I viewed a NOTICE TO SUBSCRIBERS: CI has launched a free LinkedIn group and you’re invited to join. Its offer to sign up says: to catch up with headlines and the latest discussions sign up at Compliance Intelligence from Compliance Reporter.
Of course I am happy to inform anyone who asks or meets Group requirements that the Group I manage which is named
Broker/Dealer Compliance Officers logoBroker/Dealer, Investment Adviser Compliance Officers now has 4,505 Members. The Discussion are closed to members. What is the Group Purpose:
  • Reach other Broker-Dealer and Investment Advisor Compliance Officers
  • Referrals from Group members
  • View profiles, News and Jobs posted by Group members.
  • Members are exclusively Compliance and Legal - subject to an exception request made and approved by Group Manager.

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