0 0 By Mitch Avnet In Capital Markets & Investment Banking, Compliance BulletinPosted January 20, 2014Compliance Bulletin 01-14The SEC’s Compliance Program Initiative and 2014 Examination Priorities should serve as a “wake up call”. READ MORE
0 0 By CRC In Capital Markets & Investment BankingPosted June 18, 2013SUMMARY :: Dodd-Frank Trade Reconstruction RoundtableSummary: Dodd-Frank Trade Reconstruction Expert Panel INTRODUCTION On June 5th, 2014, Bloomberg Vault and Compliance Risk Concepts (“CRC”) hosted a special roundtable at Bloomberg’s New York [...] READ MORE
