Lately, I feel there is a lot of talk about the changing role of the Chief Compliance Officer (CCO) within the financial services industry. So much so I’m planning to base a session around this topic at our upcoming 2nd Annual Buy-Side Compliance & Risk conference on December 9th. With that being said, I wanted
Compliance
The New CIA: The Office of Financial Research?
Who would have thought it could be possible to compare the CIA, an agency known for its fight against terrorism, to a research office within our Treasury Department? Now though, thanks to the passing of the new financial regulation, that may not be such an unrealistic assessment. An article in Businessweek reported that Congress has
Hedge Funds
Want to Start a Hedge Fund? Consider Asia
If you want to start a hedge fund, there are a lot of decisions to take into consideration. Aside from the points we cover in our How to Launch a Hedge Fund seminar, where you start your hedge fund also tops the list. According to HedgeTracker.com’s list of “Top Hedge Fund Firm Launches of 2010”(and
Compliance
Sell-Side Compliance: No Friends in the Coffee Room?
Guest Contributor: Denise Valentine, Senior Analyst, Aite Group I’m feeling sad today. In fact, I lay awake this morning reflecting on dozens of conversations I’ve had with compliance officers at asset managers, hedge funds, and broker/dealers. It’s difficult not to empathize. I don’t recall ever feeling this way after interviews in other functional areas… Here
Dodd-Frank
Help! – Regulatory Reform Can’t Happen Without You – or Can It?
President Obama has signed what is considered the biggest financial regulatory reform legislation since the 1930’s into law… now what?comment box okcancel resized 600 The SEC and other regulatory bodies are now asked to figure out what this legislation means for the United States’ financial system, and what rules will make it work on Wall
Compliance
Social Media Leads to New Compliance Issues: Is Your Firm Prepared?
While researching for our upcoming Buy-Side Compliance & Risk conference in December, I came across an interesting topic which will probably develop into a session for the event – how is social media creating new compliance issues for firms? Social media sites such as Twitter, Facebook and LinkedIn are now all the rage, even in
