By Mitch Avnet In Capital Markets & Investment Banking, Compliance BulletinPosted January 20, 2014 Compliance Bulletin 01-14 The SEC’s Compliance Program Initiative and 2014 Examination Priorities should serve as a “wake up call”. 0 Read More
By CRC In Capital Markets & Investment BankingPosted June 18, 2013 SUMMARY :: Dodd-Frank Trade Reconstruction Roundtable Summary: 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 [...] 0 Read More
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